Schedule 13G

Filed by: AMERIPRISE FINANCIAL INC
Total Shares: 7,446,295
Subject Company: Vmware Inc - View Complete Ownership History Backtest
Filed as of Date: 02/13/2014
Event Date: 12/31/2013
Overall % Ownership: 5.71
Theoretical performance if you bought this security on the day the filing was released.
Perf 1d Perf 5d Perf 1m Perf 6m Perf 1y Max Gain # Days to Max Gain Max Loss # Days to Max Loss
1.5792 2.8703 13.4123 7.6825 -9.6458 19.2915 33 -19.9104 241

Reporting Persons

Name Sole
Voting Power
Shared
Voting Power
Sole
Dispositive Power
Shared
Dispositive Power
Aggregate
Amount Owned
Percent
of class
Ameriprise Financial, Inc 0 5,552,960 0 7,446,295 7,446,295 5.71%
Columbia Management Investment Advisers, LLC 0 5,552,960 0 7,446,295 7,446,295 5.71%
View Original Filing on Edgar's

Raw Filing Contents

0001193125-14-051130.txt : 20140213
0001193125-14-051130.hdr.sgml : 20140213
20140213161758
ACCESSION NUMBER:		0001193125-14-051130
CONFORMED SUBMISSION TYPE:	SC 13G
PUBLIC DOCUMENT COUNT:		3
FILED AS OF DATE:		20140213
DATE AS OF CHANGE:		20140213
GROUP MEMBERS:		COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

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 13G
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	005-83098
		FILM NUMBER:		14606345

	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:			AMERIPRISE FINANCIAL INC
		CENTRAL INDEX KEY:			0000820027
		STANDARD INDUSTRIAL CLASSIFICATION:	INVESTMENT ADVICE [6282]
		IRS NUMBER:				133180631
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		SC 13G

	BUSINESS ADDRESS:	
		STREET 1:		1099 AMERIPRISE FINANCIAL CENTER
		CITY:			MINNEAPOLIS
		STATE:			MN
		ZIP:			55474
		BUSINESS PHONE:		612-671-3131

	MAIL ADDRESS:	
		STREET 1:		1099 AMERIPRISE FINANCIAL CENTER
		CITY:			MINNEAPOLIS
		STATE:			MN
		ZIP:			55474

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	AMERICAN EXPRESS FINANCIAL CORP
		DATE OF NAME CHANGE:	20030513

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	AMERICAN EXPRESS FINANCIAL ADVISORS
		DATE OF NAME CHANGE:	19950711

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	IDS FINANCIAL CORP/MN/
		DATE OF NAME CHANGE:	19920703
SC 13G 1 d673620dsc13g.htm SC 13G SC 13G

 

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities and Exchange Act of 1934

 

 

VMWARE Inc.

(Name of Issuer)

 

 

Common Stock

(Title of Class of Securities)

928563402

(CUSIP Number)

December 31, 2013

(Date of Event Which Requires Filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

This Schedule is filed pursuant to Rule 13d-1(b)

The information required in the remainder of this cover page (except any items to which the form provides a cross-reference) 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.

 

 

 


CUSIP NO. 928563402  

 

  1)   

Name of Reporting Person

 

Ameriprise Financial, Inc.

   

S.S. or I.R.S. Identification No. of Above Person

 

IRS No. 13-3180631

  2)  

Check the Appropriate Box if a Member of a Group

(a)  ¨        (b)  x*

 

*  This filing describes the reporting person’s relationship with other persons, but the reporting person does not affirm the existence of a group.

  3)  

SEC Use Only

 

  4)  

Citizenship or Place of Organization

 

Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

   5)    

Sole Voting Power

 

0

   6)   

Shared Voting Power

 

5,552,960

   7)   

Sole Dispositive Power

 

0

   8)   

Shared Dispositive Power

 

7,446,295

  9)  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

7,446,295

10)  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

Not Applicable

11)  

Percent of Class Represented by Amount In Row (9)

 

5.71%

12)  

Type of Reporting Person

 

HC


CUSIP NO. 928563402  

 

  1)   

Name of Reporting Person

 

Columbia Management Investment Advisers, LLC

   

S.S. or I.R.S. Identification No. of Above Person

 

IRS No. 41-1533211

  2)  

Check the Appropriate Box if a Member of a Group

(a)  ¨        (b)  x*

 

*  This filing describes the reporting person’s relationship with other persons, but the reporting person does not affirm the existence of a group.

  3)  

SEC Use Only

 

  4)  

Citizenship or Place of Organization

 

Minnesota

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

   5)    

Sole Voting Power

 

0

   6)   

Shared Voting Power

 

5,552,960

   7)   

Sole Dispositive Power

 

0

   8)   

Shared Dispositive Power

 

7,446,295

  9)  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

7,446,295

10)  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

Not Applicable

11)  

Percent of Class Represented by Amount In Row (9)

 

5.71%

12)  

Type of Reporting Person

 

IA


1(a)    Name of Issuer:    VMWARE Inc.
1(b)    Address of Issuer’s Principal    3401 Hillview Avenue
   Executive Offices:    Palo Alto, CA 94304
2(a)    Name of Person Filing:    (a) Ameriprise Financial, Inc. (“AFI”)
      (b) Columbia Management Investment
      Advisers, LLC (“CMIA”)
2(b)    Address of Principal Business Office:    (a) Ameriprise Financial, Inc.
      145 Ameriprise Financial Center
      Minneapolis, MN 55474
      (b) 225 Franklin St.
      Boston, MA 02110
2(c)    Citizenship:    (a) Delaware
      (b) Minnesota
2(d)    Title of Class of Securities:    Common Stock
2(e)    Cusip Number:    928563402
3    Information if statement is filed pursuant to Rules 13d-1(b) or 13d-2(b):
  

(a) Ameriprise Financial, Inc.

  
   A parent holding company in accordance with Rule 13d-1(b)(1)(ii)(G). (Note: See Item 7)
  

(b) Columbia Management Investment Advisers, LLC

  
   An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E).
4    Incorporated by reference to Items (5)-(9) and (11) of the cover page pertaining to each reporting person.
   AFI, as the parent company of CMIA, may be deemed to beneficially own the shares reported herein by CMIA. Accordingly, the shares reported herein by AFI include those shares separately reported herein by CMIA.
   Each of AFI and CMIA disclaims beneficial ownership of any shares reported on this Schedule.
5    Ownership of 5% or Less of a Class: Not Applicable
6    Ownership of more than 5% on Behalf of Another Person: Not Applicable
7    Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company:
  

AFI: See Exhibit I


8    Identification and Classification of Members of the Group:
  

Not Applicable

9    Notice of Dissolution of Group:
  

Not Applicable

10    Certification:
   By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect.


Signature

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: February 12, 2014

 

Ameriprise Financial, Inc.
By:   /s/ Martha Skinner
  Name: Martha Skinner
  Title: Director – Fund Administration – Financial Reporting

 

Columbia Management Investment

Advisers, LLC

By:   /s/ Amy Johnson
  Name: Amy Johnson
  Title: Chief Operating Officer

 

Contact Information
  Martha Skinner
  Director – Fund Administration – Financial Reporting
  Telephone: (612) 671-7086


Exhibit Index

 

Exhibit I    Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company.
Exhibit II    Joint Filing Agreement
EX-99.1 2 d673620dex991.htm EX-99.1 EX-99.1

Exhibit I

to

Schedule 13G

Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows:

Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940.

EX-99.2 3 d673620dex992.htm EX-99.2 EX-99.2

Exhibit II

to

Schedule 13G

Joint Filing Agreement

The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 12, 2014 in connection with their beneficial ownership of VMWARE Inc. Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule 13G to which this Exhibit is attached and make any necessary amendments thereto.

 

Ameriprise Financial, Inc.  
By:   /s/ Martha Skinner  
  Martha Skinner
  Director – Fund Administration – Financial Reporting

 

Columbia Management Investment Advisers, LLC
By:   /s/ Amy Johnson  
  Amy Johnson
  Chief Operating Officer
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