0000899243-21-042473 3 1 20211101 20211102 20211102 Silver Lake Technology Associates IV, L.P. 0001672566 DE 1231 3 34 001-33622 211373069 C/O SILVER LAKE 2775 SAND HILL ROAD, SUITE 100 MENLO PARK CA 94025 (650)233-8120 C/O SILVER LAKE 2775 SAND HILL ROAD, SUITE 100 MENLO PARK CA 94025 Silver Lake Group, L.L.C. 0001418226 DE 1231 3 34 001-33622 211373070 2775 SAND HILL ROAD, SUITE 100 MENLO PARK CA 94025 6502338120 2775 SAND HILL ROAD, SUITE 100 MENLO PARK CA 94025 Silver Lake Partners IV, L.P. 0001552054 DE 1231 3 34 001-33622 211373068 C/O SILVER LAKE 2775 SAND HILL ROAD, SUITE 100 MENLO PARK CA 94025 650-233-8020 C/O SILVER LAKE 2775 SAND HILL ROAD, SUITE 100 MENLO PARK CA 94025 Silver Lake Technology Investors IV, L.P. 0001672565 DE 1231 3 34 001-33622 211373067 C/O SILVER LAKE 2775 SAND HILL ROAD, SUITE 100 MENLO PARK CA 94025 (650)233-8120 C/O SILVER LAKE 2775 SAND HILL ROAD, SUITE 100 MENLO PARK CA 94025 SLTA SPV-2 (GP), L.L.C. 0001767116 DE 1231 3 34 001-33622 211373066 C/O SILVER LAKE 2775 SAND HILL ROAD, SUITE 100 MENLO PARK CA 94025 (650)233-8120 C/O SILVER LAKE 2775 SAND HILL ROAD, SUITE 100 MENLO PARK CA 94025 SLTA IV (GP), L.L.C. 0001672568 DE 1231 3 34 001-33622 211373071 C/O SILVER LAKE 2775 SAND HILL ROAD, SUITE 100 MENLO PARK CA 94025 (650)233-8120 C/O SILVER LAKE 2775 SAND HILL ROAD, SUITE 100 MENLO PARK CA 94025 SL SPV-2, L.P. 0001767114 DE 1231 3 34 001-33622 211373064 C/O SILVER LAKE 2775 SAND HILL ROAD, SUITE 100 MENLO PARK CA 94025 (650)233-8120 C/O SILVER LAKE 2775 SAND HILL ROAD, SUITE 100 MENLO PARK CA 94025 SLTA SPV-2, L.P. 0001767115 DE 1231 3 34 001-33622 211373065 C/O SILVER LAKE 2775 SAND HILL ROAD, SUITE 100 MENLO PARK CA 94025 (650)233-8120 C/O SILVER LAKE 2775 SAND HILL ROAD, SUITE 100 MENLO PARK CA 94025 VMWARE, INC. 0001124610 7372 943292913 DE 0128 3401 HILLVIEW AVENUE PALO ALTO CA 94304 (650) 427-5000 3401 HILLVIEW AVENUE PALO ALTO CA 94304 VMWARE INC 20000923 3 1 doc3.xml FORM 3 SUBMISSION FORM 3 OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB Number: Washington, D.C. 20549 3235-0104 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF Estimated SECURITIES average burden hours per response... 0.5 Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 1. Name and Address of Reporting 2. Date of Event 3. Issuer Name and Ticker or Trading Person * Requiring Symbol SLTA IV (GP), L.L.C. Statement VMWARE, INC. [VMW] (MM/DD/YYYY) 11/1/2021 (Last) (First) (Middle) 4. Relationship of Reporting Person(s) to Issuer (Check C/O SILVER LAKE, 2775 SAND HILL all applicable) ROAD, SUITE 100 __X__ Director ___X___ 10% Owner _____ Officer (give title below) _____ Other (specify below) (Street) 5. If Amendment, 6. Individual or Joint/Group MENLO PARK, CA 94025 Date Original Filing(Check Applicable Line) (City) (State) (Zip) Filed(MM/DD/YYYY) ___ Form filed by One Reporting Person _X_ Form filed by More than One Reporting Person Table I - Non-Derivative Securities Beneficially Owned 1.Title of Security 2. Amount of 3. 4. Nature of Indirect (Instr. 4) Securities Ownership Beneficial Ownership Beneficially Form: (Instr. 5) Owned Direct (Instr. 4) (D) or Indirect (I) (Instr. 5) Class A Common Stock 16133485 I Held through SL SPV-2, L.P. (1) (7) Held through Silver Lake Class A Common Stock 16561833 I Partners IV, L.P. (2) (7) Held through Silver Lake Class A Common Stock 8964898 I Partners V DE (AIV), L.P. (3) (7) Held through Silver Lake Class A Common Stock 243679 I Technology Investors IV, L.P. (4) (7) Held through Silver Lake Class A Common Stock 109885 I Technology Investors V, L.P. (5) (7) Held through Silver Lake Class A Common Stock 37038 I Group, L.L.C. (6) (7) Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) 1. Title of Derivate Security 2. Date Exercisable 3. Title and Amount 4. 5. 6. Nature of (Instr. 4) and Expiration Date of Securities Conversion Ownership Indirect (MM/DD/YYYY) Underlying or Form of Beneficial Derivative Security Exercise Derivative Ownership (Instr. 4) Price of Security: (Instr. 5) Derivative Direct (D) Security or Indirect (I) Date Expiration Title Amount (Instr. 5) Exercisable Date or Number of Shares Explanation of Responses: (1) These securities are directly held by SL SPV-2, L.P. ("SPV-2"). The general partner of SPV-2 is SLTA SPV-2, L.P. ("SLTA SPV") and the general partner of SLTA SPV is SLTA SPV-2 (GP), L.L.C. ("SLTA SPV GP"). (2) These securities are directly held by Silver Lake Partners IV, L.P. ("SLP IV"). The general partner of SLP IV is Silver Lake Technology Associates IV, L.P. ("SLTA IV") and the general partner of SLTA IV is SLTA IV (GP), L.L.C. ("SLTA IV GP"). (3) These securities are directly held by Silver Lake Partners V DE (AIV), L.P. ("SLP V"). The general partner of SLP V is Silver Lake Technology Associates V, L.P. ("SLTA V") and the general partner of SLTA V is SLTA V (GP), L.L.C. ("SLTA V GP"). (4) These securities are directly held by Silver Lake Technology Investors IV, L.P. The general partner of Silver Lake Technology Investors IV, L.P. is SLTA IV and the general partner of SLTA IV is SLTA IV GP. (5) These securities are directly held by Silver Lake Technology Investors V, L.P. The general partner of Silver Lake Technology Investors V, L.P. is SLTA V and the general partner of SLTA V is SLTA V GP. (6) These securities are directly owned by Silver Lake Group, L.L.C. ("SLG"). (7) SLG is the managing member of SLTA SPV GP, SLTA IV GP and SLTA V GP. Egon Durban, who serves as a director of the Issuer, also serves as a Co-CEO and Managing Member of SLG. Each of the reporting persons may be deemed a director by deputization of the Issuer. Remarks: The Reporting Persons are jointly filing this Form 3 pursuant to Rule 16a-3(j) under the Exchange Act. This filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing for purposes of Section 16 of the Exchange Act or otherwise, and each Reporting Person disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. Because no more than 10 reporting persons can file any one Form 3 through the Securities and Exchange Commission's EDGAR system, certain affiliates of the Reporting Persons have filed a separate Form 3. Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other SLTA IV (GP), L.L.C. C/O SILVER LAKE X X 2775 SAND HILL ROAD, SUITE 100 MENLO PARK, CA 94025 Silver Lake Group, L.L.C. C/O SILVER LAKE X X 2775 SAND HILL ROAD, SUITE 100 MENLO PARK, CA 94025 Silver Lake Technology Associates IV, L.P. C/O SILVER LAKE X X 2775 SAND HILL ROAD, SUITE 100 MENLO PARK, CA 94025 Silver Lake Partners IV, L.P. C/O SILVER LAKE X X 2775 SAND HILL ROAD, SUITE 100 MENLO PARK, CA 94025 Silver Lake Technology Investors IV, L.P. C/O SILVER LAKE X X 2775 SAND HILL ROAD, SUITE 100 MENLO PARK, CA 94025 SLTA SPV-2 (GP), L.L.C. C/O SILVER LAKE X X 2775 SAND HILL ROAD, SUITE 100 MENLO PARK, CA 94025 SLTA SPV-2, L.P. C/O SILVER LAKE X X 2775 SAND HILL ROAD, SUITE 100 MENLO PARK, CA 94025 SL SPV-2, L.P. C/O SILVER LAKE, X X 2775 SAND HILL ROAD, SUITE 100 MENLO PARK, CA 94025 Signatures By: /s/ Andrew J. Schader; Andrew J. Schader, Managing Director 11/2/2021 and General Counsel of Silver Lake Group, L.L.C. ** Signature of Reporting Person Date By: /s/ Andrew J. Schader; Managing Director and General Counsel of Silver Lake Group, L.L.C., managing member of SLTA IV (GP), 11/2/2021 L.L.C. ** Signature of Reporting Person Date By: /s/ Andrew J. Schader; Andrew J. Schader, Managing Director and General Counsel of Silver Lake Group, L.L.C., managing member 11/2/2021 of SLTA IV (GP), L.L.C., general partner of Silver Lake Technology Associates IV, L.P. ** Signature of Reporting Person Date By: /s/ Andrew J. Schader; Andrew J. Schader, Managing Director and General Counsel of Silver Lake Group, L.L.C., managing member 11/2/2021 of SLTA IV (GP), L.L.C., GP of Silver Lake Technology Associates IV, L.P., GP of Silver Lake Partners IV, L.P. ** Signature of Reporting Person Date By: /s/ Andrew J. Schader; Andrew J. Schader, Managing Director and General Counsel of Silver Lake Group, L.L.C., man. member of 11/2/2021 SLTA IV (GP), L.L.C., GP of Silver Lake Technology Associates IV, L.P., GP of Silver Lake Technology Investors IV, L.P. ** Signature of Reporting Person Date By: /s/ Andrew J. Schader; Andrew J. Schader, Managing Director and General Counsel of Silver Lake Group, L.L.C., managing member 11/2/2021 of SLTA SPV-2 (GP), L.L.C. ** Signature of Reporting Person Date By: /s/ Andrew J. Schader; Andrew J. Schader, Managing Director and General Counsel of Silver Lake Group, L.L.C., managing member 11/2/2021 of SLTA SPV-2 (GP), L.L.C., general partner of SLTA SPV-2, L.P. ** Signature of Reporting Person Date By: /s/ Andrew J. Schader; Andrew J. Schader, Managing Director and General Counsel of Silver Lake Group, L.L.C., managing member 11/2/2021 of SLTA SPV-2 (GP), L.L.C., general partner of SLTA SPV-2, L.P., general partner of SL SPV-2, L.P. ** 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 5(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.