0001209191-21-038075 3 2 20210601 20210603 20210603 Dhawan Sumit 0001862168 3 34 001-33622 21994593 3401 HILLVIEW AVENUE PALO ALTO CA 94304 VMWARE, INC. 0001124610 7372 943292913 DE 0129 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 Dhawan Sumit Statement VMWARE, INC. [VMW] (MM/DD/YYYY) 6/1/2021 (Last) (First) (Middle) 4. Relationship of Reporting Person(s) to Issuer (Check 3401 HILLVIEW AVENUE all applicable) _____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) President / (Street) 5. If Amendment, 6. Individual or Joint/Group PALO ALTO, CA 94304 Date Original Filing(Check Applicable Line) (City) (State) (Zip) Filed(MM/DD/YYYY) _X_ Form filed by One Reporting Person ___ 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 69779 D 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: Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other Dhawan Sumit 3401 HILLVIEW AVENUE President PALO ALTO, CA 94304 Signatures /s/ Craig Norris, attorney-in-fact 6/3/2021 ** 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. EX-24.1 2 attachment1.htm EX-24.1 DOCUMENT POWER OF ATTORNEY I, Sumit Dhawan, appoint each of Craig D. Norris, Amy Fliegelman Olli and Catherine G. Dunwoodie as my attorney-in-fact to: (1) execute on my behalf, in my capacity as an officer or director of VMware, Inc. (the "Company"), Forms 144 in accordance with Rule 144 of the Securities Act of 1933 and Forms 3, 4 and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder (collectively, the "Forms"); (2) prepare, execute on my behalf, and submit to the U.S. Securities and Exchange Commission (the "SEC") a Form ID, including amendments thereto, and any other documents necessary or appropriate to obtain codes and passwords enabling any such attorney-in-fact to make electronic filings with the SEC of the Forms; (3) perform on my behalf any act necessary or desirable to complete and execute any Form, complete and execute any amendment to a Form and timely file the Forms with the United States Securities and Exchange Commission and any stock exchange or similar authority; and (4) take any other action related to the Forms that, in his or her opinion, may benefit me or may be legally required of me. Each attorney-in-fact has the power and authority to appoint a substitute attorney-in-fact, revoke that appointment and determine the form, terms and conditions of any document executed by him or her. I acknowledge that none of the attorneys-in-fact or the Company are assuming any of my responsibilities to comply with Rule 144 of the Securities Act of 1933 or Section 16 of the Securities Exchange Act of 1934. By signing this Power of Attorney, I am ratifying and confirming all actions lawfully taken by an attorney-in-fact in the performance of his or her duties under this Power of Attorney. As of the date below, any and all prior powers of attorney executed by me related to the Forms are hereby revoked and superseded by this Power of Attorney. This Power of Attorney will remain effective until I am no longer required to file Forms related to my holdings of Company securities, unless I earlier deliver a signed revocation notice to the Companys general counsel. If an attorney-in-fact terminates employment with the Company, this Power of Attorney will be deemed revoked with respect to the departing attorney-in-fact and will remain effective with respect to each other attorney-in-fact remaining employed by the Company until terminated pursuant to the preceding sentence. I have signed this Power of Attorney on May 10, 2021. By: /s/ Sumit Dhawan Sumit Dhawan