U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 4
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility Holding Company Act of 1935 or
Section 30(f) of the Investment Company Act of 1940
[_] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations
may continue. See Instruction 1(b).
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1. Name and Address of Reporting Person*
Kaiser William S.
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(Last) (First) (Middle)
c/o Red Hat, Inc., 1801 Varsity Drive
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(Street)
Raleigh North Carolina 27606
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(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol
Red Hat, Inc. (RHAT)
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3. IRS Identification Number of Reporting Person, if an Entity (Voluntary)
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4. Statement for Month/Year
October 7, 2002
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5. If Amendment, Date of Original (Month/Year)
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6. Relationship of Reporting Person to Issuer
(Check all applicable)
[_] Director [_] 10% Owner
[X] Officer (give title below) [_] Other (specify below)
Executive Vice President = Engineering
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7. Individual or Joint/Group Filing (Check applicable line)
[X] Form filed by one Reporting Person
[_] Form filed by more than one Reporting Person
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Table I -- Non-Derivative Securities Acquired, Disposed of,
or Beneficially Owned
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6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
2A. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Deemed Code ------------------------------- Owned at End (D) or Indirect
1. Transaction Execution (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date Date, if any, ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4)
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Common Stock, $.0001 10/07/02 L(1) V 1,137 A 700,482 D
par value per share
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Common Stock, $.0001 10/07/02 L(1) V 134,663 A 134,663 I By LP(2)
par value per share
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Common Stock, $.0001 10/07/02 L(1) V 8,213 A 8,213 I By LP(3)
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* If the Form is filed by more than one Reporting Person, see Instruction
4(b)(v).
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
(Print or Type Responses)
(Over)
(Form 4-07/99)
FORM 4 (continued)
Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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10.
9. Owner-
Number ship
of Form
2. Deriv- of
Conver- 5. 7. ative Deriv- 11.
sion Number of Title and Amount Secur- ative Nature
or Derivative 6. of Underlying 8. ities Secur- of
Exer- 3A. 4. Securities Date Securities Price Bene- ity: In-
cise 3. Deemed Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct
Price Trans- Execution action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene-
1. of action Date, if Code of(D) (Month/Day/Year) Amount ative at End In- ficial
Title of Deriv- Date any (Instr. (Instr. 3, ---------------- or Secur- of direct Owner-
Derivative ative (Month/ (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship
Security Secur- Day/ Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr.
(Instr. 3) ity Year) Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4)
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Explanation of Responses:
(1) Acquired in exchange for stock of NocPulse, Inc.
pursuant to stock for stock exchange with Issuer.
(2) Represents shares of Common Stock owned by
Greylock X Limited Partnership. Mr. Kaiser
is a general partner of Greylock X GP Limited Partnership,
the sole general partner of Greylock X Limited Partnership.
Mr. Kaiser disclaims beneficial ownership of these securities
except to the extent of his pecuniary interest therein, which,
as of the date of acquisition, was nominal.
(3) Represents shares of Common Stock owned by
Greylock X GP Limited Partnership. Mr. Kaiser
is a general partner of Greylock X GP Limited Partnership,
the sole general partner of Greylock X Limited Partnership.
Mr. Kaiser disclaims beneficial ownership of these securities
except to the extent of his pecuniary interest therein, which,
as of the date of acquisition, was nominal.
/s/ Mark Webbink, Attorney-In-Fact October 11, 2002
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**Signature of Reporting Person Date
** Intentional misstatements or omissions of facts constitute Federal
Criminal Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed.
If space provided is insufficient, see Instruction 6 for procedure.
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