0001009626-16-000301.txt : 20161102 0001009626-16-000301.hdr.sgml : 20161102 20161102205916 ACCESSION NUMBER: 0001009626-16-000301 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161031 FILED AS OF DATE: 20161102 DATE AS OF CHANGE: 20161102 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BROCADE COMMUNICATIONS SYSTEMS INC CENTRAL INDEX KEY: 0001009626 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER COMMUNICATIONS EQUIPMENT [3576] IRS NUMBER: 770409517 STATE OF INCORPORATION: DE FISCAL YEAR END: 1029 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: CARNEY LLOYD CENTRAL INDEX KEY: 0001204424 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25601 FILM NUMBER: 161969673 MAIL ADDRESS: STREET 1: C/O MICROMUSE INC STREET 2: 139 TOWNSEND ST CITY: SAN FRANCISCO STATE: CA ZIP: 94107 4 1 wf-form4_147813474440960.xml FORM 4 X0306 4 2016-10-31 0 0001009626 BROCADE COMMUNICATIONS SYSTEMS INC BRCD 0001204424 CARNEY LLOYD 130 HOLGER WAY SAN JOSE CA 95134 1 1 0 0 Chief Executive Officer Common Stock 2016-10-31 4 M 0 330727 0 A 634942 D Common Stock 2016-10-31 4 F 0 167111 10.60 D 467831 D Common Stock 2016-11-01 4 M 0 50000 0 A 517831 D Common Stock 2016-11-01 4 F 0 26090 11.24 D 491741 D Common Stock 2016-11-01 4 M 0 54333 0 A 546074 D Common Stock 2016-11-01 4 F 0 28351 11.24 D 517723 D Common Stock 2016-11-01 4 M 0 85100 0 A 602823 D Common Stock 2016-11-01 4 F 0 44406 11.24 D 558417 D Restricted Stock Units 2016-10-31 4 M 0 330727 0 D 2016-10-31 Common Stock 330727.0 0 D Restricted Stock Units 2016-11-01 4 M 0 50000 0 D 2016-11-01 Common Stock 50000.0 0 D Restricted Stock Units 2016-11-01 4 M 0 54333 0 D 2017-11-01 Common Stock 54333.0 54333 D Restricted Stock Units 2016-11-01 4 M 0 85100 0 D 2018-11-01 Common Stock 85100.0 170200 D 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. 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 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. 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 December 9, 2013 under Brocade's 2009 Stock Plan. The performance period for the restricted stock units was October 27, 2013 until October 31, 2015, with vesting subject to approval of the performance calculation by Brocade's Compensation Committee. This approval was obtained on November 16, 2015. As a result, 50% of the restricted stock units vested on that date and the remaining 50% vested on October 31, 2016, subject to the terms of the performance-based restricted stock unit agreement. /s/ Jean Furter, Attorney-in-fact for Lloyd Carney 2016-11-02