SEC Form 4 · accession 0001209191-15-045096
VMWARE, INC. · VMW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul Maritz
Director
Period of report
May 18, 2015
Accepted (ET)
May 20, 2015 · 8:07 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001124610
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | May 18, 2015 | M | 1,340,006 | $31.59 | A | 0 | D | |
| Class A Common StockF1 | May 18, 2015 | F | 898,945 | $87.78 | D | 468,282 | D | |
| Class A Common StockF2,F3 | May 19, 2015 | S | 84,652 | $87.70 | D | 383,630 | D | |
| Class A Common StockF3,F4 | May 20, 2015 | S | 84,652 | $87.73 | D | 298,978 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right-to-buy)F5 | $31.59 | May 18, 2015 | M | 1,340,006 | D | — | Aug 12, 2015 | Class A Common Stock | 1,340,006 | 0 | D |
Explanation of responses
- F1Shares withheld by VMware, Inc. to satisfy exercise price and taxes payable in connection with Mr. Maritz's stock option exercise.
- F2Price represents weighted average for sales reported. The range of prices for the sales reported is $87.52 through $87.88.
- F3The reporting person will provide upon request by the Securities and Exchange Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F4Price represents weighted average for sales reported. The range of prices for the sales reported is $87.32 through $88.02.
- F5312,001 shares were fully vested as of the grant date (August 12, 2009). The remaining shares vested ratably each month until fully vested in March 2013.