SEC Form 4 · accession 0001009626-15-000121

BROCADE COMMUNICATIONS SYSTEMS INC · BRCD

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — CTO and SVP, Corporate Develop

Period of report

Nov 1, 2015

Accepted (ET)

Nov 3, 2015 · 6:00 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001009626

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	Nov 1, 2015	M	16,666	$0.00	A	404,994	D
Common Stock^F2	Nov 1, 2015	F	6,264	$10.42	D	398,730	D
Common Stock^F1	Nov 1, 2015	M	11,333	$0.00	A	410,063	D
Common Stock^F2	Nov 1, 2015	F	4,259	$10.42	D	405,804	D
Common Stock^F1	Nov 1, 2015	M	9,334	$0.00	A	415,138	D
Common Stock^F2	Nov 1, 2015	F	3,508	$10.42	D	411,630	D
Common Stock^F3	holding	—	—		—	225,727	I	By Trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F4,F1	—	Nov 1, 2015	M	16,666	D	—	Nov 1, 2015	Common Stock	16,666	0	D
Restricted Stock Units^F4,F1	—	Nov 1, 2015	M	11,333	D	—	Nov 1, 2016	Common Stock	11,333	11,333	D
Restricted Stock Units^F4,F1	—	Nov 1, 2015	M	9,334	D	—	Nov 1, 2017	Common Stock	9,334	18,666	D

F1Reflects 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.
F2Shares 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.
F3Reflects shares held by the Ken Kong Kin Cheng Trust dated 05/23/2006, over which the Reporting Person exercises investment and voting control.
F4Each restricted stock unit represents a contingent right to receive one share of Brocade common stock.