Filing Details
- Accession Number:
- 0001009626-13-000099
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-11-01 20:31:20
- Reporting Period:
- 2013-10-30
- Filing Date:
- 2013-11-01
- Accepted Time:
- 2013-11-01 19:31:20
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1009626 | Brocade Communications Systems Inc | BRCD | Computer Peripheral Equipment, Nec (3577) | 770409517 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1281634 | W Daniel Fairfax | 130 Holger Way San Jose CA 95134 | Cfo, Vp Of Finance | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2013-10-30 | 25,000 | $8.00 | 150,000 | No | 4 | S | Indirect | By Trust |
| Common Stock | Acquisiton | 2013-11-01 | 13,666 | $0.00 | 93,101 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-01 | 5,135 | $8.06 | 87,966 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2013-11-01 | 37,500 | $0.00 | 125,466 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-01 | 14,092 | $8.06 | 111,374 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2013-11-01 | 16,667 | $0.00 | 128,041 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-01 | 6,263 | $8.06 | 121,778 | No | 4 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | By Trust |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Disposition | 2013-11-01 | 13,666 | $0.00 | 13,666 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2013-11-01 | 37,500 | $0.00 | 37,500 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2013-11-01 | 16,667 | $0.00 | 16,667 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2013-11-01 | No | 4 | M | Direct | |
| 37,500 | 2014-11-01 | No | 4 | M | Direct | |
| 33,333 | 2015-11-01 | No | 4 | M | Direct |
Footnotes
- Shares sold pursuant to 10b5-1 trading plan previously adopted by the reporting person.
- Reflects shares held by the Daniel and Linda Fairfax Revocable Trust, over which the Reporting Person and his spouse exercise investment and voting control.
- 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.
- Each restricted stock unit represents a contingent right to receive one share of Brocade common stock.
Billionaire Hedge Funds
