-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, MXk+lr42uIvI/QOpL8WBfuuNsE2w3vse7Nh/4lUgQe8bvdrbwyTDKIlhsOCuNOHo n69PHWS9vrSo8aF1xdhxpQ== 0000050863-09-000086.txt : 20090514 0000050863-09-000086.hdr.sgml : 20090514 20090514161756 ACCESSION NUMBER: 0000050863-09-000086 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20090514 DATE AS OF CHANGE: 20090514 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: VMWARE, INC. CENTRAL INDEX KEY: 0001124610 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 943292913 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-83098 FILM NUMBER: 09826872 BUSINESS ADDRESS: STREET 1: 3401 HILLVIEW AVENUE CITY: PALO ALTO STATE: CA ZIP: 94304 BUSINESS PHONE: (650) 427-5000 MAIL ADDRESS: STREET 1: 3401 HILLVIEW AVENUE CITY: PALO ALTO STATE: CA ZIP: 94304 FORMER COMPANY: FORMER CONFORMED NAME: VMWARE INC DATE OF NAME CHANGE: 20000923 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: INTEL CORP CENTRAL INDEX KEY: 0000050863 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 941672743 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 2200 MISSION COLLEGE BLVD STREET 2: RNB-4-151 CITY: SANTA CLARA STATE: CA ZIP: 95054 BUSINESS PHONE: 4087658080 MAIL ADDRESS: STREET 1: 2200 MISSION COLLEGE BLVD STREET 2: RNB-4-151 CITY: SANTA CLARA STATE: CA ZIP: 95054 SC 13D/A 1 sch13da.htm SCHEDULE 13D/A

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

_____________________________________________

SCHEDULE 13D/A

 

Under the Securities Exchange Act of 1934

(Amendment No. 4)*

 

VMware, Inc.

(Name of Issuer)

Class A Common Stock, par value $0.01 per share

(Title of Class of Securities)

268648102

(CUSIP Number)

_____________________________________________

D. Bruce Sewell

Senior Vice President and General Counsel

Cary I. Klafter

Corporate Secretary

Intel Corporation

2200 Mission College Boulevard

Santa Clara, CA 95054

(408) 765-8080

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

May 12, 2009

(Date of Event Which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g)), check the following box o.

Note. Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent.

* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

 

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

(Continued on following pages)

(Page 1 of 6 Pages)

 

 


 

CUSIP No. 268648102

13D/A

 

 

 

 

1

NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

INTEL CORPORATION

94-1672743

 

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:

(a)          o
(b)          x

 

3

SEC USE ONLY

 

 

4

SOURCE OF FUNDS

WC

 

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e):


o

 

6

CITIZENSHIP OR PLACE OF ORGANIZATION:

Delaware

 

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH

7

SOLE VOTING POWER:

5,014,634

 

8

SHARED VOTING POWER:

0

 

9

SOLE DISPOSITIVE POWER:

5,014,634

 

10

SHARED DISPOSITIVE POWER:

0

 

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON:

5,014,634

 

12

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:


o

 

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):

5.5%*

 

14

TYPE OF REPORTING PERSON:

CO

 

 

 

*

The calculation of the percentage is based on 91,957,931 shares of Class A Common Stock issued and outstanding on April 30, 2009, as reported in VMware’s Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May 7, 2009.

 

Page 2 of 6

 


AMENDMENT NO. 4 TO SCHEDULE 13D

 

This Amendment No. 4 amends and supplements that certain Schedule 13D filed on September 4, 2007, as amended to date (the “Schedule 13D”), by Intel Corporation, a Delaware corporation (the “Reporting Person”), relating to the Class A Common Stock, par value $0.01 per share (the “Common Stock”), of VMware, Inc., a Delaware corporation (the “Company”). Capitalized terms used herein and not otherwise defined in this Amendment No. 4 shall have the meanings set forth in the Schedule 13D. Except as specifically set forth herein, the Schedule 13D remains unmodified.

 

This Amendment No. 4 is being filed while the Reporting Person is in the process of verifying information required herein from their perspective directors and executive officers. If the Reporting Person obtains information concerning such individuals which would make a material change in the disclosure contained herein, an amendment to this statement will be filed that will disclose such change.

 

Item 4. Purpose of Transaction.

 

Item 4 of the Schedule 13D is hereby amended to add the following information under the subheading Sale of Common Stock in the Open Market:

 

Between December 13, 2009 and May 11, 2009, Intel Capital, the Reporting Person’s wholly-owned subsidiary, sold an aggregate of 828,842 shares of the Common Stock in the open market, for a total price of $20,959,239 at the per share price ranging from $23.00 to $28.09.

 

In addition, on May 12, 2009, Intel Capital gifted 300,000 shares of Common Stock to the Intel Foundation, a not-for-profit organization.

 

Item 4 of the Schedule 13D is hereby further amended such that the paragraph in Item 4 beginning with “Other than the plan to sell up to 3,750,000 shares of Common Stock” is amended and restated in its entirety by the following:

 

Other than the plan to sell up to 3,750,000 shares of the Common Stock disclosed in Amendment No. 1 to the Schedule 13D filed on November 3, 2008, Intel Capital does not have any other plans or proposals relating to the Common Stock. Pursuant to this plan, between November 4, 2008 and May 11, 2009, Intel Capital sold an aggregate of 3,185,366 shares of the Common Stock in the open market. Intel Capital currently holds 5,014,634 shares of the Common Stock.

 

Item 5. Interest in Securities of the Issuer.

 

The first paragraph appearing after subsection (e) of Item 5 of the Schedule 13D is hereby amended and restated in its entirety by the following:

 

* The Reporting Person does not directly own the Common Stock of the Company. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act, as amended (the “Act”), the Reporting Person is deemed to own beneficially 5,014,634 shares of the Common Stock that are owned directly by Intel Capital, a wholly-owned subsidiary of the Reporting Person.

 

 


SIGNATURES

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

Dated: May 14, 2009

 

INTEL CORPORATION

 

By: /s/Cary I. Klafter

Name: Cary I. Klafter

Title: Corporate Secretary

 

 

POWER OF ATTORNEY

 

KNOW ALL MEN BY THESE PRESENTS, that the undersigned hereby constitutes and appoints Cary I. Klafter, and with full power or substitution, the undersigned’s true and lawful attorney-in-fact with full power to execute and file with the Securities and Exchange Commission and any stock exchange or similar authority, any report required to be filed pursuant to Section 13 of the Securities Exchange Act of 1934, (as amended, the “Act”), with respect to securities which may be deemed to be beneficially owned by the Company under the Act, giving and granting unto said attorney-in-fact the power and authority to act in the premises as fully and to all intents and purposes as the Company might or could do if personally present by one of its authorized signatories, hereby ratifying and confirming all that said attorney-in-fact shall lawfully do or cause to be done by virtue hereof.

This Power of Attorney shall remain in full force and effect until either revoked in writing by the undersigned or until such time as the person to whom power of attorney has been hereby granted ceases to be an employee of Intel Corporation.

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 6th day of December, 2004.

INTEL CORPORATION

By:

/ s / D. Bruce Sewell

 

D. Bruce Sewell

 

Vice President,

 

General Counsel

 


Schedule A

DIRECTORS AND EXECUTIVE OFFICERS

The name, citizenship, business address, and present principal occupation or employment of each of the directors and executive officers of the Reporting Person are as set forth below.

Directors:

 

Name

 

Present Principal Occupation or Employment

 

Present Business Address

 

Citizenship

Craig R. Barrett

 

Chairman of the Board

 

2200 Mission College Blvd.

Santa Clara, CA 95052

 

 

U.S.A

Paul S. Otellini

 

President and Chief Executive Officer

 

2200 Mission College Blvd.

Santa Clara, CA 95052

 

 

U.S.A

Charlene Barshefsky

 

Senior International Partner, Wilmer Cutler Pickering Hale & Dorr LLP

 

 

1875 Pennsylvania Avenue, NW

Washington, DC 20006

 

 

U.S.A

Susan L. Decker

 

Private Investor

 

P.O. Box 69

Belvedere, CA 94920

 

 

U.S.A

John Donahoe

 

President and CEO, eBay

 

2145 Hamilton Avenue

San Jose, CA 95125

 

 

U.S.A

Reed E. Hundt

 

Principal, Charles Ross Partners, LLC

 

1909 K Street NW, Suite 820

Washington, DC 20006

 

 

U.S.A

James D. Plummer

 

John M. Fluke Professor of Electrical Engineering; Frederick E. Terman Dean of the School of Engineering, Stanford University

 

 

Stanford University

Terman 214, Mail Code 4027

Stanford, CA 94305

 

U.S.A

David S. Pottruck

 

Chairman and Chief Executive Officer, Red Eagle Ventures, Inc.

 

 

201 Spear Street

Suite 1150

San Francisco, CA 94105

 

 

U.S.A

Jane E. Shaw

 

Retired Chairman and Chief Executive Officer, Aerogen, Inc.

 

 

2200 Mission College Blvd.

Santa Clara, CA 95052

 

U.S.A / U.K.

John L. Thornton

 

Professor and Director of Global Leadership
Tsinghua University in Beijing

 

 

712 Fifth Avenue, 23rd Floor

New York, NY 10019

 

 

U.S.A

Frank Yeary

 

Vice Chancellor

University of California Berkeley

 

 

200 California Hall #1500

Berkeley, CA 94720

 

U.S.A

David B. Yoffie

 

Max and Doris Starr Professor of International Business Administration, Harvard Business School

 

 

Harvard Business School

Morgan Hall 215, Soldiers Field Park Rd.

Boston, MA 02163

 

U.S.A

 


Non-Director Executives:

 

Name

 

Present Principal Occupation or Employment

 

Present Business Address

 

Citizenship

Andy D. Bryant

 

Executive Vice President

Finance and Enterprise Services
Chief Administrative Officer

 

 

2200 Mission College Blvd.

Santa Clara, CA 95052

 

U.S.A

Sean M. Maloney

 

Executive Vice President

Chief Sales and Marketing Officer

 

 

2200 Mission College Blvd.

Santa Clara, CA 95052

 

U.K.

David Perlmutter

 

Executive Vice President

General Manager, Mobility Group

 

 

2200 Mission College Blvd.

Santa Clara, CA 95052

 

U.S.A

Arvind Sodhani

 

Executive Vice President

President, Intel Capital

 

 

2200 Mission College Blvd.

Santa Clara, CA 95052

 

U.S.A

Robert J. Baker

 

Senior Vice President

General Manager, Technology and Manufacturing Group

 

 

2200 Mission College Blvd.

Santa Clara, CA 95052

 

U.S.A

Patrick P. Gelsinger

 

Senior Vice President

General Manager, Digital Enterprise Group

 

 

2200 Mission College Blvd.

Santa Clara, CA 95052

 

U.S.A

William M. Holt

 

Senior Vice President

General Manager, Technology and Manufacturing Group

 

 

2200 Mission College Blvd.

Santa Clara, CA 95052

 

U.S.A

D. Bruce Sewell

 

Senior Vice President

General Counsel

 

 

2200 Mission College Blvd.

Santa Clara, CA 95052

 

U.S.A

Stacy J. Smith

 

Vice President

Chief Financial Officer

 

 

2200 Mission College Blvd.

Santa Clara, CA 95052

 

U.S.A

Thomas M. Kilroy

 

Vice President

General Manager, Digital Enterprise Group

 

2200 Mission College Blvd.

Santa Clara, CA 95052

 

U.S.A

 

 

 

 

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