SEC Form 4 · accession 0001209191-19-017076
VMWARE, INC. · VMW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick P Gelsinger
Officer — Chief Executive Officer · Director
Period of report
Mar 1, 2019
Accepted (ET)
Mar 5, 2019 · 7:26 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 | Mar 1, 2019 | M | 21,086 | $69.81 | A | 277,920 | D | |
| Class A Common StockF2,F3 | Mar 1, 2019 | S | 1,500 | $176.52 | D | 276,420 | D | |
| Class A Common StockF2,F4 | Mar 1, 2019 | S | 4,452 | $177.62 | D | 271,968 | D | |
| Class A Common StockF2,F5 | Mar 1, 2019 | S | 7,477 | $178.55 | D | 264,491 | D | |
| Class A Common StockF2,F6 | Mar 1, 2019 | S | 4,792 | $179.51 | D | 259,699 | D | |
| Class A Common StockF2,F7 | Mar 1, 2019 | S | 1,965 | $180.51 | D | 257,734 | D | |
| Class A Common StockF2,F8 | Mar 1, 2019 | S | 900 | $181.61 | D | 256,834 | D | |
| Class A Common StockF10 | Mar 1, 2019 | F | 15,890 | $178.20 | D | 241,015 | D | |
| Class A Common Stock | holding | — | — | — | 151,869 | I | by GRAT |
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)F11 | $69.81 | Mar 1, 2019 | M | 21,086 | D | — | Jul 25, 2020 | Class A Common Stock | 21,086 | 0 | D |
Explanation of responses
- F1This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F1071 shares were acquired under the VMware, Inc. Employee Stock Purchase Plan on February 28, 2019.
- F11The option is fully vested.
- 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.
- F3Price represents weighted average for sales reported. The range of prices for the sales reported is $175.93. through $176.91.
- F4Price represents weighted average for sales reported. The range of prices for the sales reported is $177.05 through $178.04
- F5Price represents weighted average for sales reported. The range of prices for the sales reported is $178.06 through $179.02.
- F6Price represents weighted average for sales reported. The range of prices for the sales reported is $179.07 through $180.05.
- F7Price represents weighted average for sales reported. The range of prices for the sales reported is $180.07 through $181.00
- F8Price represents weighted average for sales reported. The range of prices for the sales reported is $181.12 through $182.05.
- F9Shares withheld by VMware, Inc. to satisfy taxes payable in connection with the vesting of previously awarded restricted stock units.