SEC Form 4 · accession 0001209191-17-021485
VMWARE, INC. · VMW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Maurizio Carli
Officer — EVP Worldwide Sales & Services
Period of report
Mar 15, 2017
Accepted (ET)
Mar 17, 2017 · 5:22 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 | Mar 15, 2017 | M | 1,798 | $79.66 | A | 0 | D | |
| Class A Common Stock | Mar 15, 2017 | M | 416 | $70.54 | A | 0 | D | |
| Class A Common StockF1,F2 | Mar 15, 2017 | S | 10,353 | $91.19 | D | 105,572 | 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 | $79.66 | Mar 15, 2017 | M | 1,798 | D | — | Oct 16, 2020 | Class A Common Stock | 573 | 0 | D |
| Stock Option (right-to-buy)F4 | $70.54 | Mar 15, 2017 | M | 416 | D | — | Jun 13, 2020 | Class A Common Stock | 278 | 0 | D |
Explanation of responses
- F1Price represents weighted average for sales reported. The range of prices for the sales reported is $91.16 through $91.28.
- 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.
- F33,351 shares subject to this option are fully vested. The remaining shares vest in equal monthly installments and become fully vested and exercisable on October 1, 2017.
- F46,376 shares subject to this option are fully vested. The remaining shares vest in equal monthly installments and become fully vested and exercisable on May 1, 2017.