0001009626-16-000328.txt : 20161215 0001009626-16-000328.hdr.sgml : 20161215 20161215193036 ACCESSION NUMBER: 0001009626-16-000328 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161213 FILED AS OF DATE: 20161215 DATE AS OF CHANGE: 20161215 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: 162054810 MAIL ADDRESS: STREET 1: C/O MICROMUSE INC STREET 2: 139 TOWNSEND ST CITY: SAN FRANCISCO STATE: CA ZIP: 94107 4 1 wf-form4_148184822146037.xml FORM 4 X0306 4 2016-12-13 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 2016-12-13 4 M 0 172867 5.66 A 731284 D Common Stock 2016-12-13 4 S 0 128824 12.392 D 602460 D Common Stock 2016-12-14 4 M 0 693829 5.66 A 1296289 D Common Stock 2016-12-14 4 S 0 520485 12.4043 D 775804 D Non-Qualified Stock Option (right to buy) 5.66 2016-12-13 4 M 0 172867 0 D 2020-01-16 Common Stock 172867.0 2227133 D Non-Qualified Stock Option (right to buy) 5.66 2016-12-14 4 M 0 693829 0 D 2020-01-16 Common Stock 693829.0 1533304 D Shares sold for payment of exercise price and tax withholding liability pursuant to terms of the option agreement. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $12.385 to $12.40, inclusive. The reporting person undertakes to provide Brocade Communications Systems, Inc., any security holder of Brocade Communications Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $12.40 to $12.41, inclusive. The reporting person undertakes to provide Brocade Communications Systems, Inc., any security holder of Brocade Communications Systems, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The Options shall vest as to 25% of the shares on January 14, 2014 and 1/48 of the shares will vest each month thereafter. /s/ Jean Furter, Attorney-in-fact for Lloyd Carney 2016-12-14