SEC Form 4 · accession 0001123292-16-002683

Dell Technologies Inc. · DELL

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

Reporting owner

Officer — Chief Executive Officer · Director

Period of report

Sep 1, 2016

Accepted (ET)

Sep 7, 2016 · 6:19 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001571996

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Series A Common Stock	Sep 1, 2016	P	836,364	$27.50	A	261,355,504	D
Series A Common Stock^F1	Sep 7, 2016	D	261,355,504	—	D	0	D
Series A Common Stock^F1,F2	Sep 7, 2016	D	24,551,291	—	D	0	I	By Susan Lieberman Dell Separate Property Trust
Series C Common Stock^F1	Sep 7, 2016	D	32,575	—	D	0	D
Class C Common Stock^F1	Sep 7, 2016	A	32,575	—	A	32,575	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Class A Common Stock^F1,F3	—	Sep 7, 2016	A	261,355,504	A	—	—	Class C Common Stock	261,355,504	261,355,504	D
Class A Common Stock^F3	—	Sep 7, 2016	A	78,569,486	A	—	—	Class C Common Stock	78,569,486	339,924,990	D
Class A Common Stock^F1,F2,F3	—	Sep 7, 2016	A	24,551,291	A	—	—	Class C Common Stock	24,551,291	24,551,291	I
Class A Common Stock^F2,F3	—	Sep 7, 2016	A	8,339,605	A	—	—	Class C Common Stock	8,339,605	32,890,896	I
Options to Acquire Series A Common Stock^F1,F5	$13.75	Sep 7, 2016	D	10,909,091	D	—	Nov 25, 2023	Series A Common Stock	10,909,091	0	D
Options to Acquire Class A Common Stock^F1,F5	$13.75	Sep 7, 2016	A	10,909,091	A	—	Nov 25, 2023	Class A Common Stock	10,909,091	10,909,091	D

F1Pursuant to a reclassification exempt from Section 16(b) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rules 16b-3 and 16b-7 promulgated thereunder, each share of Series A common stock was automatically reclassified as and became one share of Class A common stock and each share of Series C common stock was automatically reclassified as and became one share of Class C common stock.
F2The reporting person disclaims beneficial ownership of these securities for purposes of Rule 16a-1(a)(1) and (2) under the Exchange Act, and neither the filing of this statement nor anything herein shall be deemed an admission that he is, for purposes of Section 16 of the Exchange Act or for any other purpose, the beneficial owner of the securities.
F3Each share of Class A common stock beneficially owned by the reporting person is convertible into one share of Class C common stock at any time at the holder's election.
F4Represents shares of Class A common stock purchased from the issuer in connection with the issuer's acquisition of EMC Corporation.
F5The options vest in five equal annual installments during a vesting period that began on 11/25/2013.