UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (right to buy) | Â (8) | 11/19/2022 | Common Stock | 40,000 | $ 12.66 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Perone Michael D C/O BARRACUDA NETWORKS, INC. 3175 S. WINCHESTER BLVD. CAMPBELL, CA 95008 |
 X |  X |  Chief Marketing Officer & EVP |  |
/s/ Diane C. Honda, by power of attorney | 11/05/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Of the reported shares, 29,992 shares are represented by restricted stock units (RSUs) pursuant to which 834 shares vest monthly beginning on December 5, 2013 and an additional 40,000 shares are represented by RSUs pursuant to which the shares vest annually over three years beginning on October 10, 2014. |
(2) | The shares are held directly by the Reporting Person's spouse. |
(3) | The shares are held directly by the 2010 Four Year Plan 3 Trust for which the Reporting Person serves as a trustee. |
(4) | The shares are held directly by the Perone Family 2010 Irrevocable Trust dated June 29, 2010 for which the Reporting Person serves as a trustee. |
(5) | The shares are held directly by the by the 2010 Four Year Plan 9 Trust for which the Reporting Person serves as a trustee. |
(6) | The shares are held directly by the Perone 2012 Irrevocable Trust for which the Reporting Person serves as a trustee. |
(7) | The shares are held directly Consulting2 LLC for which the Reporting Person serves as the managing member. |
(8) | Shares subject to the option vest ratably over forty-eight months beginning on December 9, 2012. |
 Remarks: Exhibit 24 - Power of Attorney |