Last checked at 27 Apr 2018 07:00
FORM 3
| UNITED STATES SECURITIES AND EXCHANGE COMMISSIONWashington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
| OMB APPROVALOMB Number: 3235-0104Estimated average burdenhours per response... 0.5 |
| Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person *
GENERAL ELECTRIC CO | 2. Date of Event Requiring Statement (MM/DD/YYYY) 4/19/2018
| 3. Issuer Name and Ticker or Trading Symbol
Pivotal Software, Inc. [NYSE: PVTL] | ||||||||||
(Last) (First) (Middle)
3135 EASTON TURNPIKE | 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director ___ X ___ 10% Owner_____ Officer (give title below) _____ Other (specify below) | |||||||||||
(Street)
FAIRFIELD, CT 06828-0001
(City) (State) (Zip) | 5. If Amendment, Date Original Filed (MM/DD/YYYY)
| 6. Individual or Joint/Group Filing (Check Applicable Line)
___ Form filed by One Reporting Person_ X _ Form filed by More than One Reporting Person | ||||||||||
Table I - Non-Derivative Securities Beneficially Owned | ||||||||||||
1.Title of Security(Instr. 4) | 2. Amount of Securities Beneficially Owned(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)(Instr. 5) | 4. Nature of Indirect Beneficial Ownership(Instr. 5) | |||||||||
Class A Common Stock | 19415075 | I (1) | See footnote | |||||||||
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) | ||||||||||||
1. Title of Derivate Security(Instr. 4) | 2. Date Exercisable and Expiration Date(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)(Instr. 5) | 6. Nature of Indirect Beneficial Ownership(Instr. 5) | |||||||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Explanation of Responses: | |
(1) | This statement is being filed by General Electric Company and GE International Holdings B.V. General Electric Company, as the ultimate parent of GE International Holdings B.V., is the sole beneficial owner of all shares of Class A common stock owned of record by GE International Holdings B.V. |
Reporting Owners | ||||
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GENERAL ELECTRIC CO3135 EASTON TURNPIKEFAIRFIELD, CT 06828-0001 | X | |||
GE International Holdings B.V.BERGSCHOT 69, 2, 4817PABREDA, P7 00000 | X | |||
Signatures | ||
/s/ Alana L. Griffin, attorney-in-fact | 4/19/2018 | |
** Signature of Reporting Person | Date
| |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | |
POWER OF ATTORNEY The undersigned, General Electric Company, a New York company(hereinafter referred to as the "Company") does hereby make, constitute andappoint each of the persons listed below as the Company's true and lawful agentand attorney-in-fact (hereinafter referred to as the "Attorney") to act eithertogether or alone in the name and on behalf of the Company for and with respectto the matters hereinafter described.Name of Attorney: Alana L. Griffin Robert Morimoto Each Attorney shall have the power and authority to execute and deliverany Schedule 13D, Schedule 13G or Forms 3, 4 and 5 or any amendments theretorequired to be filed with the Securities and Exchange Commission under theSecurities Exchange Act of 1934 on behalf of the Company with regard to anysecurities owned by the Company or any of their subsidiaries; and, in connectionwith the foregoing, to execute and deliver all documents, acknowledgments,consents and other agreements and to take such further action as may benecessary or convenient for the Company in order to more effectively carry outthe intent and purpose of the foregoing. Agreements, commitments, documents, instruments and other writingsexecuted by the Attorney in accordance with the terms hereof shall be bindingupon the Company without attestation and without affixation of the seal of theCompany. The Power of Attorney conferred hereby shall not be delegable by anyAttorney. The Attorney shall serve without compensation for acting in thecapacity of agent and attorney-in-fact hereunder. Unless revoked by the Company, this Power of Attorney shall be governedunder the laws of the State of New York. IN WITNESS WHEREOF, the Company has caused this Power of Attorney to beexecuted as of April 18, 2018. GENERAL ELECTRIC COMPANY By: /s/ Christoph A. Pereira Christoph A. Pereira Vice President, Chief Corporate, Securities & Finance Counsel POWER OF ATTORNEYKnow all by these presents, that the undersigned hereby constitutes and appointseach of Alana L. Griffin and Robert Morimoto as the undersigned's true andlawful attorneys-in-fact to:(1) execute for and on behalf of the undersigned, in the undersigned's capacityas a stockholder of Pivotal Software, Inc. (the "Company"), Forms 3, 4 and 5,including any amendments thereto, in accordance with Section 16(a) of theSecurities Exchange Act of 1934 and the rules and regulations thereunder (the"Exchange Act");(2) do and perform any and all acts for and on behalf of the undersigned whichmay be necessary or desirable to complete and execute any such Form 3, 4 or 5,complete and execute any amendment or amendments thereto and timely file suchform with the United States Securities and Exchange Commission and theapplicable stock exchange or similar authority; and(3) take any other action of any type whatsoever in connection with theforegoing which, in the opinion of any of such attorneys-in-fact, may be ofbenefit to, in the best interest of, or legally required by, the undersigned, itbeing understood that the documents executed by any of such attorneys-in-fact onbehalf of the undersigned pursuant to this Power of Attorney shall be in suchform and shall contain such terms and conditions as any of such attorneys-in-fact may approve in his discretion.The undersigned hereby grants to each such attorney-in-fact full power andauthority to act separately and to do and perform any and every act and thingwhatsoever requisite, necessary, or proper to be done in the exercise of any ofthe rights and powers herein granted, as fully to all intents and purposes asthe undersigned might or could do if personally present, with full power ofsubstitution or revocation, hereby ratifying and confirming all that any of suchattorneys-in-fact, or the substitute or substitutes of any of such attorneys-in-fact, shall lawfully do or cause to be done by virtue of this Power of Attorneyand the rights and powers herein granted. The undersigned acknowledges that theforegoing attorneys-in-fact, in serving in such capacity at the request of theundersigned, are not assuming, nor is the Company assuming, any of theundersigned's responsibilities to comply with Section 16 of the Exchange Act.This Power of Attorney shall remain in full force and effect until theundersigned is no longer required to file Forms 3, 4 and 5 with respect to theundersigned's holdings of and transactions in securities issued by the Company,unless earlier revoked by the undersigned in a signed writing delivered to theforegoing attorneys-in-fact.IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to beexecuted as of April 16, 2018.GE INTERNATIONAL HOLDINGS B.V.Signature: /s/ Arjan Cornelis van der LindeName: Arjan Cornelis van der LindeTitle: Managing Director
FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | UNITED STATES SECURITIES AND EXCHANGE COMMISSIONWashington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
| OMB APPROVALOMB Number: 3235-0287Estimated average burdenhours per response... 0.5 |
| Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person *
GENERAL ELECTRIC CO | 2. Issuer Name and Ticker or Trading Symbol
Pivotal Software, Inc. [ NYSE: PVTL ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director __ X __ 10% Owner_____ Officer (give title below) _____ Other (specify below) | ||||||||||||||||||||||||
(Last) (First) (Middle)
41 FARNSWORTH STREET | 3. Date of Earliest Transaction (MM/DD/YYYY)
4/24/2018 | |||||||||||||||||||||||||
(Street)
BOSTON, MA 02210 (City) (State) (Zip) | 4. If Amendment, Date Original Filed (MM/DD/YYYY)
| 6. Individual or Joint/Group Filing (Check Applicable Line)
___ Form filed by One Reporting Person_ X _ Form filed by More than One Reporting Person | ||||||||||||||||||||||||
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||||||||||||||||||
1.Title of Security(Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. Code(Instr. 8) | 4. Securities Acquired (A) or Disposed of (D)(Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s)(Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||||||||||||||||||
Code | V | Amount | (A) or (D) | Price | ||||||||||||||||||||||
Class A Common Stock | 4/24/2018 | S |
| 3883000 | D | $15.00 | 15532075 | I (1) | See footnote | |||||||||||||||||
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) | ||||||||||||||||||||||||||
1. Title of Derivate Security(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security(Instr. 3 and 4) | 8. Price of Derivative Security(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | |||||||||||||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||||||||||||
Explanation of Responses: | |
(1) | This statement is being filed by General Electric Company and GE International Holdings B.V. General Electric Company, as the ultimate parent of GE International Holdings B.V., is the sole beneficial owner of all shares of Class A common stock owned of record by GE International Holdings B.V. |
Reporting Owners | ||||
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GENERAL ELECTRIC CO41 FARNSWORTH STREETBOSTON, MA 02210 | X | |||
GE International Holdings B.V.BERGSCHOT 69, 2, 4817PABREDA, P7 00000 | X | |||
Signatures | ||
/s/ Alana L. Griffin, attorney-in-fact | 4/26/2018 | |
** Signature of Reporting Person | Date
| |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | |