BROCADE COMMUNICATIONS SYSTEMS INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 53 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-11-17: Reporting owner CHENG KEN; Form 4/A; Security Non-Qualified Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2017-11-17: Reporting owner CHENG KEN; Form 4/A; Security Non-Qualified Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2017-11-17: Reporting owner DIPENTIMA RENATO A; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2017-11-17: Reporting owner DIPENTIMA RENATO A; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-11-17 | CHENG KEN Officer (CTO and SVP, Corporate Develop) | 4/A | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −85,000 0 owned after | $8.59 exercise price | 2017-11-30 | |
| 2017-11-17 | CHENG KEN Officer (CTO and SVP, Corporate Develop) | 4/A | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −70,000 0 owned after | $10.89 exercise price | 2017-11-30 | |
| 2017-11-17 | DIPENTIMA RENATO A Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 0 owned after | $6.84 exercise price | 2017-11-21 | |
| 2017-11-17 | DIPENTIMA RENATO A Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 0 owned after | $5.70 exercise price | 2017-11-21 | |
| 2017-11-17 | DIPENTIMA RENATO A Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 0 owned after | $5.55 exercise price | 2017-11-21 | |
| 2017-11-17 | BRUNER JUDY Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 0 owned after | $5.70 exercise price | 2017-11-21 | |
| 2017-11-17 | BRUNER JUDY Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 0 owned after | $5.55 exercise price | 2017-11-21 | |
| 2017-11-17 | EARHART ALAN L Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 0 owned after | $5.55 exercise price | 2017-11-21 | |
| 2017-11-17 | GERDELMAN JOHN W Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 0 owned after | $6.84 exercise price | 2017-11-21 | |
| 2017-11-17 | GERDELMAN JOHN W Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 0 owned after | $5.70 exercise price | 2017-11-21 | |
| 2017-11-17 | GERDELMAN JOHN W Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 0 owned after | $5.55 exercise price | 2017-11-21 | |
| 2017-11-17 | HOUSE DAVID L Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 0 owned after | $7.82 exercise price | 2017-11-21 | |
| 2017-11-17 | HOUSE DAVID L Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −7,500 0 owned after | $7.80 exercise price | 2017-11-21 | |
| 2017-11-17 | HOUSE DAVID L Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 0 owned after | $5.70 exercise price | 2017-11-21 | |
| 2017-11-17 | HOUSE DAVID L Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −7,500 0 owned after | $5.70 exercise price | 2017-11-21 | |
| 2017-11-17 | HOUSE DAVID L Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 0 owned after | $5.55 exercise price | 2017-11-21 | |
| 2017-11-17 | KRAUSE L WILLIAM Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $3.19 exercise price | 2017-11-21 | |
| 2017-11-17 | KRAUSE L WILLIAM Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 0 owned after | $5.70 exercise price | 2017-11-21 | |
| 2017-11-17 | KRAUSE L WILLIAM Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 0 owned after | $5.55 exercise price | 2017-11-21 | |
| 2017-11-17 | Lindholm Jeffrey Officer (SVP, Worldwide Sales) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −13,000 0 owned after | $8.59 exercise price | 2017-11-21 | |
| 2017-11-17 | Lindholm Jeffrey Officer (SVP, Worldwide Sales) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −33,334 0 owned after | $10.89 exercise price | 2017-11-21 | |
| 2017-11-17 | VASWANI SANJAY Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −15,000 0 owned after | $7.16 exercise price | 2017-11-21 | |
| 2017-11-17 | VASWANI SANJAY Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 0 owned after | $5.70 exercise price | 2017-11-21 | |
| 2017-11-17 | VASWANI SANJAY Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 0 owned after | $5.55 exercise price | 2017-11-21 | |
| 2017-11-17 | CARNEY LLOYD Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,400,000 0 owned after | $5.66 exercise price | 2017-11-21 | |
| 2017-11-17 | CARNEY LLOYD Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −66,667 0 owned after | $8.59 exercise price | 2017-11-21 | |
| 2017-11-17 | CARNEY LLOYD Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −170,834 0 owned after | $10.89 exercise price | 2017-11-21 | |
| 2017-11-17 | CHENG KEN Officer (CTO and SVP, Corporate Develop) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −85,000 0 owned after | $8.59 exercise price | 2017-11-21 | |
| 2017-11-17 | CHENG KEN Officer (CTO and SVP, Corporate Develop) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −70,000 0 owned after | $10.89 exercise price | 2017-11-21 | |
| 2017-11-17 | FAIRFAX DANIEL W Officer (SVP and CFO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −78,000 0 owned after | $8.59 exercise price | 2017-11-21 | |
| 2017-11-17 | FAIRFAX DANIEL W Officer (SVP and CFO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −73,000 0 owned after | $10.89 exercise price | 2017-11-21 | |
| 2017-11-17 | England Gale E. Officer (COO and SVP Operations) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −15,625 0 owned after | $5.42 exercise price | 2017-11-21 | |
| 2017-11-17 | England Gale E. Officer (COO and SVP Operations) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −13,834 0 owned after | $8.59 exercise price | 2017-11-21 | |
| 2017-11-17 | England Gale E. Officer (COO and SVP Operations) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −27,084 0 owned after | $10.89 exercise price | 2017-11-21 | |
| 2017-11-17 | ODONNELL ELLEN Officer (SVP & General Counsel) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −224,000 0 owned after | $9.15 exercise price | 2017-11-21 | |
| 2017-11-17 | ODONNELL ELLEN Officer (SVP & General Counsel) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −65,000 0 owned after | $10.89 exercise price | 2017-11-21 | |
| 2017-10-18 | KRAUSE L WILLIAM Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 0 owned after | $8.77 exercise price | 2017-10-20 | |
| 2017-04-07 | HOUSE DAVID L Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 0 owned after | $6.32 exercise price | 2017-04-10 | |
| 2017-04-07 | HOUSE DAVID L Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,500 0 owned after | $6.32 exercise price | 2017-04-10 | |
| 2017-03-22 | CARNEY LLOYD Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −333,333 66,667 owned after | $8.59 exercise price | 2017-03-24 | |
| 2017-03-22 | CARNEY LLOYD Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −239,166 170,834 owned after | $10.89 exercise price | 2017-03-24 | |
| 2017-03-21 | BRUNER JUDY Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 0 owned after | $6.32 exercise price | 2017-03-22 | |
| 2017-03-15 | Lindholm Jeffrey Officer (SVP, Worldwide Sales) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −225,000 0 owned after | $5.68 exercise price | 2017-03-17 | |
| 2017-03-15 | Lindholm Jeffrey Officer (SVP, Worldwide Sales) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −65,000 13,000 owned after | $8.59 exercise price | 2017-03-17 | |
| 2017-03-15 | Lindholm Jeffrey Officer (SVP, Worldwide Sales) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −46,666 33,334 owned after | $10.89 exercise price | 2017-03-17 | |
| 2017-03-15 | England Gale E. Officer (COO and SVP Operations) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −234,375 15,625 owned after | $5.42 exercise price | 2017-03-17 | |
| 2017-03-15 | England Gale E. Officer (COO and SVP Operations) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −69,166 13,834 owned after | $8.59 exercise price | 2017-03-17 | |
| 2017-03-15 | England Gale E. Officer (COO and SVP Operations) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −37,916 27,084 owned after | $10.89 exercise price | 2017-03-17 | |
| 2017-03-15 | VASWANI SANJAY Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 0 owned after | $9.77 exercise price | 2017-03-17 | |
| 2017-03-15 | VASWANI SANJAY Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 0 owned after | $6.32 exercise price | 2017-03-17 | |
| 2017-02-27 | KRAUSE L WILLIAM Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 0 owned after | $6.32 exercise price | 2017-03-01 | |
| 2017-02-27 | HOUSE DAVID L Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,500 0 owned after | $9.01 exercise price | 2017-03-01 | |
| 2017-02-15 | HOUSE DAVID L Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +20,000 0 owned after | $8.51 exercise price | 2017-02-16 |