0001062993-22-008089.txt : 20220317 0001062993-22-008089.hdr.sgml : 20220317 20220317190007 ACCESSION NUMBER: 0001062993-22-008089 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220315 FILED AS OF DATE: 20220317 DATE AS OF CHANGE: 20220317 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rothberg Richard J CENTRAL INDEX KEY: 0001680902 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37867 FILM NUMBER: 22750388 MAIL ADDRESS: STREET 1: ONE DELL WAY CITY: ROUND ROCK STATE: TX ZIP: 78682 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Dell Technologies Inc. CENTRAL INDEX KEY: 0001571996 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPUTERS [3571] IRS NUMBER: 800890963 STATE OF INCORPORATION: DE FISCAL YEAR END: 0128 BUSINESS ADDRESS: STREET 1: ONE DELL WAY CITY: ROUND ROCK STATE: TX ZIP: 78682 BUSINESS PHONE: 800-289-3355 MAIL ADDRESS: STREET 1: ONE DELL WAY CITY: ROUND ROCK STATE: TX ZIP: 78682 FORMER COMPANY: FORMER CONFORMED NAME: Dell Technologies Inc DATE OF NAME CHANGE: 20160825 FORMER COMPANY: FORMER CONFORMED NAME: Denali Holding Inc. DATE OF NAME CHANGE: 20130313 4 1 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0306 4 2022-03-15 0001571996 Dell Technologies Inc. DELL 0001680902 Rothberg Richard J ONE DELL WAY ROUND ROCK TX 78682 0 1 0 0 General Counsel & Secretary Class C Common Stock 2022-03-15 4 A 0 23762 0 A 208411 D Class C Common Stock 2022-03-15 4 F 0 18969 50.74 D 189442 D Class C Common Stock 2022-03-15 4 A 0 100557 0 A 289999 D Represents a grant of 23,762 restricted stock units ("RSUs"). The RSUs vest in three equal annual installments on the first, second and third anniversaries of the grant date contingent on the reporting person's continued service on each applicable vesting date. On November 1, 2021, the Issuer completed a special distribution of all of the shares of common stock of its former subsidiary, VMware, Inc., that it beneficially owned to its stockholders on a pro rata basis (the "Transaction"). In connection with the Transaction, the Issuer implemented an equitable adjustment to outstanding equity awards held by participants in the Issuer's 2013 Stock Incentive Plan in accordance with the terms of the plan. As a result, the 87,475 RSUs previously reported as beneficially owned by the reporting person were adjusted and the reporting person now beneficially owns 195,919 RSUs following the grant referred to in footnote 1. Represents shares withheld by the Issuer for payment of the tax liability incurred upon the partial vesting of RSUs granted on March 15, 2019, March 15, 2020 and March 15, 2021. Represents 160,936 shares certified as earned with respect to an award of performance-based RSUs granted on March 15, 2019, net of 60,379 shares withheld by the Issuer for payment of the tax liability incurred on vesting of such shares. Vesting of the performance-based RSUs occurred simultaneously with their certification. /s/ James Williamson, Attorney-in-Fact 2022-03-17