SEC Form 4 · accession 0001123292-17-000888
Dell Technologies Inc. · DELL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard J Rothberg
Officer — General Counsel & Secretary
Period of report
May 1, 2017
Accepted (ET)
May 2, 2017 · 8:19 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 |
|---|---|---|---|---|---|---|---|---|
| Class C Common StockF2 | May 1, 2017 | C | 10,697 | $0.00 | A | 50,697 | D | |
| Class C Common Stock | May 1, 2017 | S | 10,697 | $30.58 | D | 40,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common StockF2 | $0.00 | May 1, 2017 | C | 10,697 | D | — | — | Class C Common Stock | 10,697 | 15,422 | D |
Explanation of responses
- F1Represents conversion of 10,697 shares of Class A common stock into an equal number of shares of Class C common stock in connection with the reporting person's election to convert such shares of Class A common stock and tender such underlying shares of Class C Common Stock for purchase by the Issuer pursuant to the Issuer's previously announced offer to purchase shares of Class C common stock.
- F2Each 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.