SEC Form 4 · accession 0001209191-16-154798
VMWARE, INC. · VMW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Maurizio Carli
Officer — EVP, Worldwide Sales
Period of report
Dec 8, 2016
Accepted (ET)
Dec 12, 2016 · 7:52 pm EST
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 | Dec 8, 2016 | M | 2,634 | $70.54 | A | 0 | D | |
| Class A Common StockF1,F2 | Dec 8, 2016 | S | 12,650 | $81.14 | D | 120,566 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right-to-buy)F3 | $70.54 | Dec 8, 2016 | M | 2,634 | D | — | Jun 13, 2020 | Class A Common Stock | 694 | 0 | D |
Explanation of responses
- F1Price represents weighted average for sales reported. The range of prices for the sales reported is $81.12 through $81.23.
- F2The 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.
- F32,634 shares subject to this option are fully vested and exercisable. The remaining shares vest in equal monthly installments and become fully vested and exercisable on May 1, 2017.