|
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
|
OMB APPROVAL
OMB Number: 3235-0287 Estimated average burden hours per response... 0.5 |
|
|
|
|
|
1. Name and Address of Reporting Person
*
Durban Egon |
2. Issuer Name
and
Ticker or Trading Symbol
VMWARE, INC. [ VMW ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__ X __ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below) |
|
C/O SILVER LAKE PARTNERS,, 2775 SAND HILL ROAD, SUITE 100 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
|
|
|
MENLO PARK, CA 94025 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person _ X _ Form filed by More than One Reporting Person |
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
||||||||||
|
1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Class A Common Stock | 3/31/2017 | S | 2699204 | D | (1) | 34089448 | I | See footnotes (2) (3) (4) (5) (6) | ||
|
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
|||||||||||||||
|
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 | ||||||||
|
Remarks:
The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act. Because no more than 10 reporting persons can file any one Form 4 through the Securities and Exchange Commission's EDGAR system, SLP Denali and SLP Denali GP have filed a separate Form 4, which reports the transaction reported herein. Michael S. Dell, Dell Technologies and EMC are also separately filing a Form 4 reporting the transaction reported herein. Exhibit List: Exhibit 24- Power of Attorney |
|
Reporting Owners
|
|||||
| Reporting Owner Name / Address |
|
||||
| Director | 10% Owner | Officer | Other | ||
|
Durban Egon
C/O SILVER LAKE PARTNERS, 2775 SAND HILL ROAD, SUITE 100 MENLO PARK, CA 94025 |
X |
|
|
|
|
|
Silver Lake Partners III LP
C/O SILVER LAKE 2775 SAND HILL ROAD, SUITE 100 MENLO PARK, CA 94025 |
|
X |
|
|
|
|
Silver Lake Technology Investors III, L.P.
C/O SILVER LAKE 2775 SAND HILL ROAD, SUITE 100 MENLO PARK, CA |
|
X |
|
|
|
|
Silver Lake Technology Associates III, L.P.
C/O SILVER LAKE 2775 SAND HILL ROAD, SUITE 100 MENLO PARK, CA 94025 |
|
X |
|
|
|
|
SLTA III (GP), L.L.C.
C/O SILVER LAKE 2775 SAND HILL ROAD, SUITE 100 MENLO PARK, CA 94025 |
|
X |
|
|
|
|
Silver Lake Partners IV, L.P.
C/O SILVER LAKE 2775 SAND HILL ROAD, SUITE 100 MENLO PARK, CA 94025 |
|
X |
|
|
|
|
Silver Lake Technology Investors IV, L.P.
C/O SILVER LAKE 2775 SAND HILL ROAD, SUITE 100 MENLO PARK, CA 94025 |
|
X |
|
|
|
|
Silver Lake Technology Associates IV, L.P.
C/O SILVER LAKE 2775 SAND HILL ROAD, SUITE 100 MENLO PARK, CA 94025 |
|
X |
|
|
|
|
SLTA IV (GP), L.L.C.
C/O SILVER LAKE 2775 SAND HILL ROAD, SUITE 100 MENLO PARK, CA 94025 |
|
X |
|
|
|
|
Silver Lake Group, L.L.C.
C/O SILVER LAKE 2775 SAND HILL ROAD, SUITE 100 MENLO PARK, CA 94025 |
|
X |
|
|
|
|
Signatures
|
||
| By: /s/ Karen M. King, Attorney-in-Fact for Egon Durban | 4/4/2017 | |
| ** Signature of Reporting Person |
Date
|
|
| By: /s/ Karen M. King, Managing Director and CLO of Silver Lake Group, L.L.C. | 4/4/2017 | |
| ** Signature of Reporting Person |
Date
|
|
| By: /s/ Karen M. King, Managing Director and CLO of Silver Lake Group, L.L.C., managing member of SLTA III (GP), L.L.C. | 4/4/2017 | |
| ** Signature of Reporting Person |
Date
|
|
| By: /s/ Karen M. King, Managing Director and CLO of Silver Lake Group, L.L.C., managing member of SLTA III (GP), L.L.C., general partner of Silver Lake Technology Associates III, L.P. | 4/4/2017 | |
| ** Signature of Reporting Person |
Date
|
|
| By: /s/ Karen M. King, Managing Director and CLO of Silver Lake Group, L.L.C., managing member of SLTA III (GP), L.L.C., general partner of Silver Lake Technology Associates III, L.P., general partner of Silver Lake Partners III, L.P. | 4/4/2017 | |
| ** Signature of Reporting Person |
Date
|
|
| By: /s/ Karen M. King, Managing Director and CLO of Silver Lake Group, L.L.C., managing member of SLTA III (GP), L.L.C., general partner of Silver Lake Technology Associates III, L.P., general partner of Silver Lake Technology Investors III, L.P. | 4/4/2017 | |
| ** Signature of Reporting Person |
Date
|
|
| By: /s/ Karen M. King, Managing Director and CLO of Silver Lake Group, L.L.C., managing member of SLTA IV (GP), L.L.C. | 4/4/2017 | |
| ** Signature of Reporting Person |
Date
|
|
| By: /s/ Karen M. King, Managing Director and CLO of Silver Lake Group, L.L.C., managing member of SLTA IV (GP), L.L.C., general partner of Silver Lake Technology Associates IV, L.P. | 4/4/2017 | |
| ** Signature of Reporting Person |
Date
|
|
| By: /s/ Karen M. King, Managing Director and CLO of Silver Lake Group, L.L.C., managing member of SLTA IV (GP), L.L.C., general partner of Silver Lake Technology Associates IV, L.P., general partner of Silver Lake Partners IV, L.P. | 4/4/2017 | |
| ** Signature of Reporting Person |
Date
|
|
| By: /s/ Karen M. King, Managing Director and CLO of Silver Lake Group, L.L.C., managing member of SLTA IV (GP), L.L.C.,general partner of Silver Lake Technology Associates IV, L.P., general partner of Silver Lake Technology Investors IV, L.P. | 4/4/2017 | |
| ** Signature of Reporting Person |
Date
|
|
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | |
POWER OF ATTORNEY
Know all by these presents that Egon Durban, does hereby make, constitute
and appoint each of Karen M. King and Andrew J. Schader or either one of them,
as a true and lawful attorney-in-fact of the undersigned with full powers of
substitution and revocation, for and in the name, place and stead of the
undersigned (both in the undersigned's individual capacity and as a manager or
member of any limited liability company, as a partner of any partnership, as an
officer of any corporate or other entity, or in the undersigned's capacity in a
position similar to the foregoing at any entity, in each case, for which the
undersigned is otherwise authorized to sign), to execute and deliver such forms
that the undersigned may be required to file with the U.S. Securities and
Exchange Commission as a result of the undersigned's ownership of or
transactions in securities of VMware, Inc. (i) pursuant to Section 16(a) of the
Securities Exchange Act of 1934, as amended, including without limitation,
statements on Form 3, Form 4 and Form 5 (including any amendments thereto) and
(ii) in connection with any applications for EDGAR access codes, including
without limitation the Form ID. The Power of Attorney shall remain in full force
and effect until the undersigned is no longer required to file Forms 3, 4 and 5
with regard to ownership or transactions in securities of VMware, Inc., unless
earlier revoked in writing. The undersigned acknowledges that Karen M. King and
Andrew J. Schader are not assuming any of the undersigned's responsibilities to
comply with Section 16 of the Securities Exchange Act of 1934.
By: /s/ Egon Durban
----------------
Egon Durban
Date: 09/07/2016