DELL 10-Q Quarterly Report Nov. 2, 2018 | Alphaminr

Effective Date August 11, 2021

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DELL TECHNOLOGIES INC.

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TABLE OF CONTENTS

Part I Financial Informationprint Item 1 Financial Statementsprint Note 1 Basis Of Presentationprint Note 2 Interim Update To Summary Of Significant Accounting Policiesprint Note 3 Fair Value Measurementsprint Note 4 Investmentsprint Note 5 Financial Servicesprint Note 6 Debtprint Note 7 Derivative Instruments and Hedging Activitiesprint Note 8 Goodwill and Intangible Assetsprint Note 9 Deferred Revenueprint Note 10 Warranty Liabilityprint Note 11 Commitments and Contingenciesprint Note 12 Income and Other Taxesprint Note 13 Accumulated Other Comprehensive Income (loss)print Note 14 Non-controlling Interestsprint Note 15 Earnings (loss) Per Shareprint Note 16 Capitalizationprint Note 17 Redeemable Sharesprint Note 18 Segment Informationprint Note 19 Supplemental Consolidated Financial Informationprint Note 20 Subsequent Eventsprint Item 2 Management S Discussion and Analysis Of Financial Condition and Results Of Operationsprint Item 3 Quantitative and Qualitative Disclosures About Market Riskprint Item 4 Controls and Proceduresprint Part II Other Informationprint Item 1 Legal Proceedingsprint Item 1A Risk Factorsprint Item 2 Unregistered Sales Of Equity Securities and Use Of Proceedsprint Item 6 Index To Exhibitsprint

Exhibits

2.1 Amendment No. 1 to the Agreement and Plan of Merger, dated as of November 14, 2018, between Dell Technologies Inc. (the Company) and Teton Merger Sub Inc. (incorporated by reference to Exhibit 2.1 to the Companys Current Report on Form 8-K filed with the Securities and Exchange Commission (the Commission) on November 15, 2018) (Commission File No. 001-37867). 10.1 Commitment Letter, dated November 14, 2018, among Dell, Inc., Bank of America, N.A., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Barclays Bank PLC, Citigroup Global Markets Inc., Credit Suisse AG, Cayman Islands Branch, Credit Suisse Loan Funding LLC, Goldman Sachs Bank, USA, JPMorgan Chase Bank, N.A., Morgan Stanley Senior Funding, Inc., Deutsche Bank AG New York Branch, Deutsche Bank Securities Inc., Royal Bank of Canada, UBS Securities LLC and UBS AG, Stamford Branch (incorporated by reference to Exhibit 10.1 to the Companys Current Report on Form 8-K/A filed with the Commission on November 15, 2018) (Commission File No. 001-37867). 10.2 Voting and Support Agreement, dated as of November 14, 2018, among the Company, Elliott Associates L.P. and Elliott International L.P. (incorporated by reference to Exhibit 10.2 to the Companys Current Report on Form 8-K/A filed with the Commission on November 15, 2018) (Commission File No. 001-37867). 10.3 Voting and Support Agreement, dated as of November 14, 2018, among the Company and Dodge & Cox (incorporated by reference to Exhibit 10.3 to the Companys Current Report on Form 8-K/A filed with the Commission on November 15, 2018) (Commission File No. 001-37867). 10.4 Voting and Support Agreement, dated as of November 14, 2018, among the Company and Mason Capital Master Fund, LP (incorporated by reference to Exhibit 10.4 to the Companys Current Report on Form 8-K/A filed with the Commission on November 15, 2018) (Commission File No. 001-37867). 10.5 Voting and Support Agreement, dated as of November 14, 2018, among the Company and Canyon Capital Advisors, LLC (incorporated by reference to Exhibit 10.5 to the Companys Current Report on Form 8-K/A filed with the Commission on November 15, 2018) (Commission File No. 001-37867). 10.6 Waiver, dated as of November 14, 2018, among the Company and VMware, Inc. (incorporated by reference to Exhibit 10.6 to the Companys Current Report on Form 8-K/A filed with the Commission on November 15, 2018) (Commission File No. 001-37867). 10.7 Form of Amended and Restated Stock Option Agreement-Performance Vesting Option for grants to executive officers under the Dell Technologies Inc. 2013 Stock Incentive Plan (incorporated by reference to Exhibit 10.10 to Amendment No. 2 to the Companys Registration Statement on Form S-4 filed with the Commission on October 4, 2018) (Registration No. 333-226618). 10.8 Form of Amended and Restated Stock Option Agreement-Performance Vesting Option for grants to employees under the Dell Technologies Inc. 2013 Stock Incentive Plan (incorporated by reference to Exhibit 10.11 to Amendment No. 2 to the Companys Registration Statement on Form S-4 filed with the Commission on October 4, 2018) (Registration No. 333-226618). 10.9 Form of Amended and Restated Stock Option Agreement-Time Vesting Option for grants to executive officers under the Dell Technologies Inc. 2013 Stock Incentive Plan (incorporated by reference to Exhibit 10.12 to Amendment No. 2 to the Companys Registration Statement on Form S-4 filed with the Commission on October 4, 2018) (Registration No. 333-226618). 10.10 Form of Amended and Restated Stock Option Agreement-Time Vesting Option for grants to employees under the Dell Technologies Inc. 2013 Stock Incentive Plan (incorporated by reference to Exhibit 10.13 to Amendment No. 2 to the Companys Registration Statement on Form S-4 filed with the Commission on October 4, 2018) (Registration No. 333-226618). 10.11 Form of Amended and Restated Dell Performance Award Agreement for grants to executive officers under the Dell Technologies Inc. 2013 Stock Incentive Plan (incorporated by reference to Exhibit 10.14 to Amendment No. 2 to the Companys Registration Statement on Form S-4 filed with the Commission on October 4, 2018) (Registration No. 333-226618). 10.12 Form of Amended and Restated Dell Performance Award Agreement for grants to employees under the Dell Technologies Inc. 2013 Stock Incentive Plan (incorporated by reference to Exhibit 10.15 to Amendment No. 2 to the Companys Registration Statement on Form S-4 filed with the Commission on October 4, 2018) (Registration No. 333-226618). 10.13 Form of Amended and Restated Dell Time Award Agreement for grants to executive officers under the Dell Technologies Inc. 2013 Stock Incentive Plan (incorporated by reference to Exhibit 10.16 to Amendment No. 2 to the Companys Registration Statement on Form S-4 filed with the Commission on October 4, 2018) (Registration No. 333-226618). 10.14 Form of Amended and Restated Dell Time Award Agreement for grants to employees under the Dell Technologies Inc. 2013 Stock Incentive Plan (incorporated by reference to Exhibit 10.17 to Amendment No. 2 to the Companys Registration Statement on Form S-4 filed with the Commission on October 4, 2018) (Registration No. 333-226618). 10.15 Form of Amended and Restated Dell Deferred Time Award Agreement for Non-Employee Directors under the Dell Technologies Inc. 2013 Stock Incentive Plan (incorporated by reference to Exhibit 10.18 to Amendment No. 2 to the Companys Registration Statement on Form S-4 filed with the Commission on October 4, 2018) (Registration No. 333-226618). 10.16 Form of Amended and Restated Stock Option Agreement for Non-Employee Directors (Annual Grant) under the Dell Technologies Inc. 2013 Stock Incentive Plan (incorporated by reference to Exhibit 10.19 to Amendment No. 2 to the Companys Registration Statement on Form S-4 filed with the Commission on October 4, 2018) (Registration No. 333-226618). 10.17 Form of Stock Option Agreement for Non-Employee Directors (Sign-On Grant) under the Dell Technologies Inc. 2013 Stock Incentive Plan (incorporated by reference to Exhibit 10.20 to Amendment No. 2 to the Companys Registration Statement on Form S-4 filed with the Commission on October 4, 2018) (Registration No. 333-226618). 10.18 Form of Amended and Restated Stock Option Agreement for grants to executive officers (Rollover Option) under the Dell Technologies Inc. 2013 Stock Incentive Plan (incorporated by reference to Exhibit 10.21 to Amendment No. 2 to the Companys Registration Statement on Form S-4 filed with the Commission on October 4, 2018) (Registration No. 333-226618). 31.1 Certification of Michael S. Dell, Chairman and Chief Executive Officer, pursuant to Rule 13a-14(a) or Rule 15d-14(a) under the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. 31.2 Certification of Thomas W. Sweet, Executive Vice President and Chief Financial Officer, pursuant to Rule 13a-14(a) or Rule 15d-14(a) under the Securities Exchange Act of 1934, as adopted pursuant to Section302 of the Sarbanes-Oxley Act of 2002. 32.1 Certifications of Michael S. Dell, Chairman and Chief Executive Officer, and Thomas W. Sweet, Executive Vice President and Chief Financial Officer, pursuant to Rule 13a-14(b) or Rule 15d-14(b) under the Securities Exchange Act of 1934 and 18 U.S.C. Section1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. 99.1 Unaudited Attributed Financial Information for Class V Group.

* THE VALUE IS THE MARKET VALUE AS OF THE LAST DAY OF THE QUARTER FOR WHICH THE 13F WAS FILED.

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