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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PEROT ROSS JR 2300 WEST PLANO PARKWAY PLANO, TX 75075-8499 |
X | Chairman |
/s/ Ross Perot, Jr. | 11/05/2009 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the beneficial owner of any securities covered by this statement. The reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. |
(2) | The reported securities were acquired by the Issuer pursuant to a short-form merger in connection with the acquisition of the Issuer by DII - Holdings Inc., a wholly-owned subsidiary of Dell Inc., pursuant to that certain Agreement and Plan of Merger, dated September 20, 2009, by and among Dell Inc., DII - Holdings Inc. and the Issuer, as amended. |
(3) | Includes 2,077,360 shares owned by a trust, the Perot Family Trust, in which the reporting person has a pecuniary interest and the reporting person is one of six members of the board of directors of the trust's co-trustee, Petrus Trust Company, LTA. The reporting person does not have investment or voting control over Petrus Trust Company, LTA. |
(4) | Includes 1,500,000 shares owned by HWGA, Ltd. for which the reporting person serves as general partner but has no investment or voting control. |
(5) | Includes 5,000 shares owned by the reporting person's spouse. |
Remarks: Exhibit Index: None |