Statement of Changes in Beneficial Ownership (4)
July 21 2020 - 7:50PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Raghuram Rangarajan (Raghu) |
2. Issuer Name and Ticker or Trading Symbol
VMWARE, INC.
[
VMW
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) COO, Products & Cloud Services |
(Last)
(First)
(Middle)
3401 HILLVIEW AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/24/2020 |
(Street)
PALO ALTO, CA 94304
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common Stock | 3/24/2020 | | G(1) | | 62500 | D | $0.00 | 110920 | D | |
Class A Common Stock | 7/1/2020 | | J(1) | | 62500 | A | $154.53 | 173420 | D | |
Class A Common Stock | 7/17/2020 | | M | | 26817 | A | $80.25 | 200237 | D | |
Class A Common Stock | 7/17/2020 | | S | | 26817 | D | $139.62 (2)(3) | 173420 | D | |
Class A Common Stock | | | | | | | | 62500 | I | by GRAT (4) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (right-to-buy) | $80.25 | 7/17/2020 | | M | | | 26817 | (5) | 7/24/2021 | Class A Common Stock | 26817 | $0.00 | 0 | D | |
Explanation of Responses: |
(1) | On March 24, 2020, the reporting person transferred 62,500 shares to a grantor retained annuity trust for which he is the sole trustee and his spouse is the annuitant (the "Spouse's "GRAT"). Thereafter, on July 1, 2020, 62,500 shares were transferred from the Spouse's GRAT to the reporting person and replaced in the Spouse's GRAT by property of equal value. |
(2) | The 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. |
(3) | Price represents weighted average for sales reported. The range of prices for the sales reported is $139.62 through $139.72. |
(4) | On March 24, 2020, the reporting person transferred 62,500 shares to a grantor retained annuity trust for which he is the sole trustee and annuitant (the "GRAT"). |
(5) | This option is fully vested. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Raghuram Rangarajan (Raghu) 3401 HILLVIEW AVENUE PALO ALTO, CA 94304 |
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| COO, Products & Cloud Services |
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Signatures
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/s/ Larry Wainblat, attorney-in-fact | | 7/21/2020 |
**Signature of Reporting Person | Date |
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