0001009626-13-000106.txt : 20131115 0001009626-13-000106.hdr.sgml : 20131115 20131115182339 ACCESSION NUMBER: 0001009626-13-000106 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131114 FILED AS OF DATE: 20131115 DATE AS OF CHANGE: 20131115 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BROCADE COMMUNICATIONS SYSTEMS INC CENTRAL INDEX KEY: 0001009626 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER PERIPHERAL EQUIPMENT, NEC [3577] IRS NUMBER: 770409517 STATE OF INCORPORATION: DE FISCAL YEAR END: 1025 BUSINESS ADDRESS: STREET 1: 130 HOLGER WAY CITY: SAN JOSE STATE: CA ZIP: 95134-1376 BUSINESS PHONE: (408) 333-8000 MAIL ADDRESS: STREET 1: 130 HOLGER WAY CITY: SAN JOSE STATE: CA ZIP: 95134-1376 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FAIRFAX DANIEL W CENTRAL INDEX KEY: 0001281634 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25601 FILM NUMBER: 131225003 MAIL ADDRESS: STREET 1: 1421 MCCARTHY BLVD. CITY: MILPITAS STATE: CA ZIP: 95035 4 1 wf-form4_138455780818130.xml FORM 4 X0306 4 2013-11-14 0 0001009626 BROCADE COMMUNICATIONS SYSTEMS INC BRCD 0001281634 FAIRFAX DANIEL W 130 HOLGER WAY SAN JOSE CA 95134 0 1 0 0 CFO, VP of Finance Common Stock 2013-11-14 4 M 0 112500 0 A 234278 D Common Stock 2013-11-14 4 F 0 58601 8.14 D 175677 D Common Stock 150000 I By Trust Restricted Stock Units 2013-11-14 4 A 0 225000 0 A 2014-10-26 Common Stock 225000.0 225000 D Restricted Stock Units 2013-11-14 4 M 0 112500 0 D 2014-10-26 Common Stock 112500.0 112500 D Reflects the conversion of previously granted restricted stock units into shares of Brocade common stock in connection with the vesting of the restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Brocade common stock. Shares automatically withheld for payment of tax withholding liability in connection with vesting of the restricted stock units pursuant to terms of the restricted stock unit agreement. Reflects shares held by the Daniel and Linda Fairfax Revocable Trust, over which the Reporting Person and his spouse exercise investment and voting control. Each restricted stock unit represents a contingent right to receive one share of Brocade common stock. The restricted stock units were granted upon achievement of certain performance objectives pursuant to the performance-based restricted stock units granted November 28, 2011 under Brocade's 2009 Stock Plan. The performance period for the restricted stock units was October 30, 2011 until October 26, 2013, with vesting subject to approval of the performance calculation by Brocade's Compensation Committee. This approval was obtained on November 14, 2013. As a result, 50% of the restricted stock units vested on that date and the remaining 50% will vest on October 26, 2014, subject to the terms of the performance-based restricted stock unit agreement. Reflects the conversion of 50% of the shares referred to in footnote (5) in this Form 4 into shares of Brocade common stock in connection with the vesting of the restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Brocade common stock. /s/ Daniel W. Fairfax 2013-11-15