SEC Form 4 · accession 0001209191-18-043404

VMWARE, INC. · VMW

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Executive Officer · Director

Period of report

Jul 17, 2018

Accepted (ET)

Jul 19, 2018 · 8:28 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	Jul 17, 2018	G	4,513	$0.00	D	433,665	D
Class A Common Stock	Jul 18, 2018	G	14,572	$0.00	D	419,093	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Dell Technologies Class V common stock^F1	—	Jul 18, 2018	G	27,860	D	—	—	see footnote (1)	27,860	0	D
Dell Technologies Class V common stock^F2,F1	—	Jul 19, 2018	S	20,645	D	—	—	see footnote (1)	20,645	0	I

F1Dell Technologies Inc. ("DT") Class V common stock is intended to track and reflect the economic performance of the Class V Group of DT, which has attributed to it the economic value of a portion of DT's controlling interest in VMware. Accordingly, the Class V stock may be considered a derivative security relating to VMware Class A common stock or an equity security relating to VMware. The filing of this Form 4 shall not be deemed an admission that the Class V stock is a derivative security relating to VMware Class A common stock or an equity security relating to VMware for purposes of Section 16 of the Securities Exchange Act of 1934.
F2These shares were held in a limited liability company ("LLC") established for the benefit of the reporting person's children. The reporting person's spouse is manager of the LLC. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person was the beneficial owner of these securities for purposes of Section 16 or for any other purpose.