SEC Form 4 · accession 0001209191-17-051756
VMWARE, INC. · VMW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
P. Kevan Krysler
Officer — Sr. Vice President, CAO
Period of report
Sep 1, 2017
Accepted (ET)
Sep 6, 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 | Sep 1, 2017 | M | 3,851 | $86.33 | A | 0 | D | |
| Class A Common Stock | Sep 1, 2017 | M | 2,149 | $95.05 | A | 0 | D | |
| Class A Common StockF1,F2 | Sep 1, 2017 | S | 13,751 | $107.69 | D | 0 | D | |
| Class A Common StockF3,F4 | Sep 1, 2017 | F | 1,667 | $107.48 | D | 71,370 | 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)F5 | $86.33 | Sep 1, 2017 | M | 3,851 | D | — | Nov 14, 2021 | Class A Common Stock | 3,851 | 1,586 | D |
| Stock Option (right-to-buy)F6 | $95.05 | Sep 1, 2017 | M | 2,149 | D | — | Jun 13, 2021 | Class A Common Stock | 2,149 | 759 | D |
Explanation of responses
- F1Price represents weighted average for sales reported. The range of prices for the sales reported is $107.24 through $108.07.
- 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.
- F3Shares withheld by VMware, Inc. to satisfy taxes payable in connection with the vesting of previously awarded restricted stock units.
- F4101 shares were acquired under the VMware, Inc. Employee Stock Purchase Plan on July 31, 2017.
- F53,851 shares subject to this option are fully vested. The remaining shares vest in equal monthly installments and become fully vested and exercisable on November 1, 2018.
- F62,423 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, 2018.