Susan Lieberman Dell Separate Property Trust's Form 4 filing
Dell Technologies Inc. (DELL) · filed Jul 1, 2021
- Accession no.
- 0001123292-21-001071
- Filed
- Jul 1, 2021, 4:39 PM ET
- Trade date
- Jun 29, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $20.1M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Susan Lieberman Dell Separate Property TrustCIK 0001761499 | 10% Owner |
| Dell Susan LiebermanCIK 0001762456 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jun 29, 2021 | Class C Common Stock | MOption exerciseAcquired | +200,932 | $0.00 | $0 | 200,932 | Direct | |
| Jun 29, 2021 | Class C Common Stock | SSaleDisposed | −200,932 | $100.05F1 | −$20,103,246.6 | 0 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jun 29, 2021 | Class C Common Stock | MOption exerciseDisposed | −200,932 | $0.00F2 | $0 | 32,390,896 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
The price reported in Column 4 represents a weighted average sales price of $100.047. These shares were sold in multiple transactions at prices ranging from $99.57 to $100.45, inclusive. The reporting person undertakes to provide to Dell Technologies Inc., any security holder of Dell Technologies Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in footnote 1.
Referenced by the price of 1 transaction in Table I.
- F2
Each share of Class A common stock beneficially owned by the reporting person is convertible into one share of Class C common stock at any time at the holder's election.
Referenced by the price of 1 transaction in Table II.