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TableofContents
PART III
ITEM 10. DIRECTORS, EXECUTIVE OFFICERS AND CORPORATE GOVERNANCE
WewillfurnishtotheSecuritiesandExchangeCommissionadefinitiveProxyStatementnolaterthan120daysafterthecloseofthefiscalyearended
December31,2015.TheinformationrequiredbythisitemisincorporatedhereinbyreferencetotheProxyStatement.Alsosee“ExecutiveOfficersofthe
Registrant”inPartIofthisAnnualReportonForm10-K.
Wehaveacodeofethicsthatappliestoallofouremployees,includingourexecutiveofficers.OurBusinessConductGuidelines(availableonourwebsite)
satisfytherequirementssetforthinItem406ofRegulationS-Kandapplytoallrelevantpersonssetforththerein.Weintendtodiscloseonourwebsiteat
www.vmware.comamendmentsto,and,ifapplicable,waiversof,ourcodeofethics.
ITEM 11. EXECUTIVE COMPENSATION
Theinformationrequiredbythisitemisincorporatedhereinbyreferencetothesectionofthecompany’sProxyStatemententitled“Compensationof
ExecutiveOfficers.”
ITEM 12. SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT, AND RELATED STOCKHOLDER
MATTERS
Theinformationrequiredbythisitemisincorporatedhereinbyreferencetothesectionofthecompany’sProxyStatemententitled“SecurityOwnershipof
CertainBeneficialOwnersandManagement.”
ITEM 13. CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS, AND DIRECTOR INDEPENDENCE
Theinformationrequiredbythisitemisincorporatedhereinbyreferencetothesectionofthecompany’sProxyStatemententitled“OurBoardofDirectors
andNominees”and“TransactionswithRelatedPersons.”
ITEM 14. PRINCIPAL ACCOUNTANT FEES AND SERVICES
Theinformationrequiredbythisitemisincorporatedhereinbyreferencetothesectionofthecompany’sProxyStatemententitled“RatificationofSelection
ofIndependentAuditors.”
PART IV
ITEM 15. EXHIBITS AND FINANCIAL STATEMENT SCHEDULE
ThefollowingdocumentsarefiledasapartofthisAnnualReportonForm10-K:
1. FinancialStatements:Theinformationrelatingtoourfinancialstatements,andReportofIndependentRegisteredPublicAccountingFirmrequiredby
thisItemisfiledaspartofthisAnnualReportonForm10-KinItem8,entitled“FinancialStatementsandSupplementaryData.”
2. FinancialStatementSchedule:ScheduleIIValuationandQualifyingAccountsisfiledaspartofthisAnnualReportonForm10-Kandshouldberead
inconjunctionwiththeConsolidatedFinancialStatementsandNotesthereto.
3. Exhibits:TheexhibitslistedbelowarefiledorincorporatedbyreferenceaspartofthisAnnualReportonForm10-K.
Incorporated by Reference
Exhibit
Number
Exhibit Description
Filed
Herewith
Form/
File No.
Date
3.1
AmendedandRestatedCertificateofIncorporation
S-1/A-2
7/9/2007
3.2
AmendedandRestatedBylaws
8-K
3/8/2011
4.1
Formofspecimencommonstockcertificate
S-1/A-4
7/27/2007
10.1
FormofMasterTransactionAgreementbetweenVMware,Inc.andEMCCorporation
S-1/A-2
7/9/2007
10.2
FormofAdministrativeServicesAgreementbetweenVMware,Inc.andEMCCorporation
S-1/A-2
7/9/2007
10.3
FormofTaxSharingAgreementbetweenVMware,Inc.andEMCCorporation
S-1/A-2
7/9/2007
10.4
FormofIntellectualPropertyAgreementbetweenVMware,Inc.andEMCCorporation
S-1/A-1
6/11/2007
93