SEC Form 4 · accession 0001209191-15-004307
BARRACUDA NETWORKS INC · CUDA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Faugno
Officer — Chief Financial Officer
Period of report
Jan 12, 2015
Accepted (ET)
Jan 14, 2015 · 9:47 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001348334
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F3 | Jan 12, 2015 | S | 720 | $38.34 | D | 528,682 | D | |
| Common StockF2,F4,F5 | Jan 5, 2015 | S | 114 | $38.34 | D | 63,415 | I | By Trust |
| Common StockF2,F6,F7 | Jan 5, 2015 | S | 115 | $38.34 | D | 63,415 | I | By Trust |
| Common StockF8,F9 | holding | — | — | — | 52,949 | I | By Trust | |
| Common StockF10,F11 | holding | — | — | — | 52,949 | I | By Trust | |
| Common StockF12 | holding | — | — | — | 42,666 | I | By Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted on February 7, 2014 by the Reporting Person.
- F10Excludes 15,324 shares previously reported as held directly by the Rock Trust 2012 Two Year Annuity Trust for which the Reporting Person's spouse serves as a trustee (the "Rock Trust Two Year Annuity Trust") which were re-registered and are now held directly by the Reporting Person's spouse.
- F11The shares are held directly by the Rock Trust 2012 Two Year Annuity Trust
- F12Includes 15,324 shares previously reported as held directly by the Rock Trust Two Year Annuity Trust and 3,115 shares previously held by the Rock Trust Three Year Annuity Trust which were re-registered and are now held directly by the Reporting Person's spouse.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.97 to $38.89, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
- F3Includes 15,324 shares previously reported as held directly by the Drop Trust 2012 Two Year Annuity Trust for which the Reporting Person serves as a trustee (the "Drop Trust Two Year Annuity Trust") and 3,115 shares previously reported as held directly by the Drop Trust 2012 Three Year Annuity Trust for which the Reporting Person serves as a trustee (the "Drop Trust Three Year Annuity Trust") which were re-registered and are now held directly by the Reporting Person.
- F4Excludes 3,115 shares previously reported as held directly by the Drop Trust Three Year Annuity Trust which were re-registered and are now held directly by the Reporting Person.
- F5The shares are held directly by the Drop Trust 2012 Three Year Annuity Trust
- F6Excludes 3,115 shares previously reported as held directly by the Rock Trust 2012 Three Year Annuity Trust for which the Reporting Person's spouse serves as a trustee (the "Rock Trust Three Year Annuity Trust") which were re-registered and are now held directly by the Reporting Person's spouse.
- F7The shares are held directly by the Rock Trust 2012 Three Year Annuity Trust
- F8Excludes 15,324 shares previously reported as held directly by the Drop Trust Two Year Annuity Trust which were re-registered and are now held directly by the Reporting Person.
- F9The shares are held directly by the Drop Trust 2012 Two Year Annuity Trust