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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Faugno David C/O BARRACUDA NETWORKS, INC. 3175 S. WINCHESTER BLVD. CAMPBELL, CA 95008 |
 |  |  Chief Financial Officer |  |
/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, 253,686 shares are represented by restricted stock units (RSUs) pursuant to which 8,184 shares vest monthly beginning on November 18, 2013 and an additional 40,000 shares are represented by RSUs pursuant to which one-third of the shares vest annually over three years beginning on October 10, 2014. |
(2) | The shares are held directly by the Drop Trust 2012 Two Year Annuity Trust for which the Reporting Person serves as a trustee. |
(3) | The shares are held directly by the Drop Trust 2012 Three Year Annuity Trust for which the Reporting Person serves as a trustee. |
(4) | The shares are held directly by the Rock Trust 2012 Two Year Annuity Trust for which the Reporting Person serves as a trustee. |
(5) | The shares are held directly by the Rock Trust 2012 Three Year Annuity Trust for which the Reporting Person serves as a trustee. |
 Remarks: Exhibit 24 - Power of Attorney |