Silver Lake Technology Investors V, L.P. 的 Form 4 申報
Dell Technologies Inc.（DELL），2024/6/5 申報
- 申報編號
- 0000899243-24-000293
- 申報時間
- 2024/6/5 07:45 ET
- 交易日
- 2024/6/3-6/4
- 申報延遲
- 2 天
- 10b5-1 計畫
- 沒有勾選
這份申報列了 21 筆非衍生性交易、5 筆衍生性交易。公開市場賣出合計 $5,051 萬。交易後 2 天申報。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Silver Lake Technology Investors V, L.P.CIK 0001735863 | 董事、持股 10% 以上大股東 |
| Slta V (GP), L.L.C.CIK 0001737652 | 董事、持股 10% 以上大股東 |
| Silver Lake Technology Associates V, L.P.CIK 0001737657 | 董事、持股 10% 以上大股東 |
| Silver Lake Partners V DE (AIV), L.P.CIK 0001737659 | 董事、持股 10% 以上大股東 |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2024/6/3 | Class C Common Stock | M行使選擇權取得 | +202,515 | –F1,F2 | – | 202,515 | 間接 | |
| 2024/6/3 | Class C Common Stock | M行使選擇權取得 | +207,892 | –F1,F2 | – | 207,892 | 間接 | |
| 2024/6/3 | Class C Common Stock | M行使選擇權取得 | +112,531 | –F1,F2 | – | 112,531 | 間接 | |
| 2024/6/3 | Class C Common Stock | M行使選擇權取得 | +3,059 | –F1,F2 | – | 3,059 | 間接 | |
| 2024/6/3 | Class C Common Stock | M行使選擇權取得 | +1,379 | –F1,F2 | – | 1,379 | 間接 | |
| 2024/6/3 | Class C Common Stock | S賣出處分 | −107,303 | $132.04F16 | −$14,168,288.12 | 95,212 | 間接 | |
| 2024/6/3 | Class C Common Stock | S賣出處分 | −131,763 | $132.04F16 | −$17,397,986.52 | 76,129 | 間接 | |
| 2024/6/3 | Class C Common Stock | S賣出處分 | −63,575 | $132.04F16 | −$8,394,443 | 48,956 | 間接 | |
| 2024/6/3 | Class C Common Stock | S賣出處分 | −2,354 | $132.04F16 | −$310,822.16 | 705 | 間接 | |
| 2024/6/3 | Class C Common Stock | S賣出處分 | −1,061 | $132.04F16 | −$140,094.44 | 318 | 間接 | |
| 2024/6/3 | Class C Common Stock | S賣出處分 | −553 | $133.47F17 | −$73,808.91 | 94,659 | 間接 | |
| 2024/6/3 | Class C Common Stock | S賣出處分 | −678 | $133.47F17 | −$90,492.66 | 75,451 | 間接 | |
| 2024/6/3 | Class C Common Stock | S賣出處分 | −328 | $133.47F17 | −$43,778.16 | 48,628 | 間接 | |
| 2024/6/3 | Class C Common Stock | S賣出處分 | −11 | $133.47F17 | −$1,468.17 | 694 | 間接 | |
| 2024/6/3 | Class C Common Stock | S賣出處分 | −6 | $133.47F17 | −$800.82 | 312 | 間接 | |
| 2024/6/3 | Class C Common Stock | S賣出處分 | −25,840 | $134.22F18 | −$3,468,244.8 | 68,819 | 間接 | |
| 2024/6/3 | Class C Common Stock | S賣出處分 | −31,731 | $134.22F18 | −$4,258,934.82 | 43,720 | 間接 | |
| 2024/6/3 | Class C Common Stock | S賣出處分 | −15,310 | $134.22F18 | −$2,054,908.2 | 33,318 | 間接 | |
| 2024/6/3 | Class C Common Stock | S賣出處分 | −567 | $134.22F18 | −$76,102.74 | 127 | 間接 | |
| 2024/6/3 | Class C Common Stock | S賣出處分 | −256 | $134.22F18 | −$34,360.32 | 56 | 間接 | |
| 2024/6/4 | Class C Common Stock | J其他處分 | −308,248 | –F11 | – | 105,101 | 間接 |
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
| 交易日 | 證券 | 交易 | 標的股數 | 單價 | 金額 | 交易後持有 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2024/6/3 | Class C Common Stock | M行使選擇權處分 | −202,515 | $0.00 | $0 | 28,890,657 | 間接 | |
| 2024/6/3 | Class C Common Stock | M行使選擇權處分 | −207,892 | $0.00 | $0 | 29,657,710 | 間接 | |
| 2024/6/3 | Class C Common Stock | M行使選擇權處分 | −112,531 | $0.00 | $0 | 16,053,680 | 間接 | |
| 2024/6/3 | Class C Common Stock | M行使選擇權處分 | −3,059 | $0.00 | $0 | 436,364 | 間接 | |
| 2024/6/3 | Class C Common Stock | M行使選擇權處分 | −1,379 | $0.00 | $0 | 196,775 | 間接 |
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- F1
SL SPV-2, L.P. ("SPV-2"), Silver Lake Partners IV, L.P. ("SLP IV") and Silver Lake Partners V DE (AIV), L.P. ("SLP V") and certain of their respective affiliates sold certain shares of Class C Common Stock, par value $0.01 per share ("Class C Common Stock") of Dell Technologies Inc. (the "Issuer") on June 3, 2024 and initiated in-kind distributions of shares of Class C Common Stock on June 4, 2024. The receipt of shares of Class C Common Stock by each of the Reporting Persons was exempt from reporting pursuant to Rule 16a-13 of the Exchange Act.
表 I 有 5 筆交易的價格引用這則附註。
- F2
Each share of Class B Common Stock, par value $0.01 per share of the Issuer (the "Class B Common Stock") is convertible into one share of Class C Common Stock at any time, at the election of the holder or automatically upon certain transfers, and has no expiration date. On June 3, 2024 and June 4, 2024, certain of the Reporting Persons converted shares of Class B Common Stock into an equal number of shares of Class C Common Stock in connection with the distributions and sales described in footnote (1) above.
表 I 有 5 筆交易的價格引用這則附註。
- F11
Represents a distribution by Silver Lake Group, L.L.C. ("SLG") of shares of Class C Common Stock to certain of its partners as an in-kind distribution. These securities were received in prior in-kind distributions from certain affiliates of SLG. Balance of shares held also includes additional shares of Class C Common Stock received in connection with pro rata distributions made by SPV-2, SLP IV and SLP V on June 4, 2024, which are being reported on a separate Form 4 filed on the date hereof. The receipt of such shares of Class C Common Stock was exempt from reporting pursuant to Rule 16a-13 of the Exchange Act.
表 I 有 1 筆交易的價格引用這則附註。
- F16
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $131.69 to $132.68, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
表 I 有 5 筆交易的價格引用這則附註。
- F17
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $132.69 to $133.67, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
表 I 有 5 筆交易的價格引用這則附註。
- F18
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $133.70 to $134.69, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
表 I 有 5 筆交易的價格引用這則附註。
備註
The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act. This filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing for purposes of Section 16 of the Exchange Act or otherwise, and each Reporting Person disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. Because no more than 10 reporting persons can file any one Form 4 through the Securities and Exchange Commission's EDGAR system, certain affiliates of the Reporting Persons have filed a separate Form 4. Because no more than 30 transactions can be listed on each Table of the Form 4 filing, the Reporting Persons have filed a separate Form 4 reporting additional transactions.