SEC Form 4 · accession 0001209191-17-038409
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
Jun 5, 2017
Accepted (ET)
Jun 7, 2017 · 6:29 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 | Jun 5, 2017 | M | 278 | $70.54 | A | 0 | D | |
| Class A Common Stock | Jun 5, 2017 | M | 246 | $79.66 | A | 0 | D | |
| Class A Common StockF1 | Jun 5, 2017 | S | 11,237 | $94.66 | D | 112,706 | 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)F2 | $70.54 | Jun 5, 2017 | M | 278 | D | — | Jun 13, 2020 | Class A Common Stock | 278 | 0 | D |
| Stock Option (right-to-buy)F3 | $79.66 | Jun 5, 2017 | M | 246 | D | — | Oct 16, 2020 | Class A Common Stock | 246 | 327 | D |
Explanation of responses
- F1Price represents weighted average for sales reported. The range of prices for the sales reported is $94.57 through $94.84.
- F26,654 shares subject to this option are fully vested.
- F33,597 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.