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