Attached files

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EX-21.1 - EX-21.1 - Pivotal Software, Inc.a2235275zex-21_1.htm
EX-10.15 - EX-10.15 - Pivotal Software, Inc.a2235275zex-10_15.htm
EX-10.14 - EX-10.14 - Pivotal Software, Inc.a2235275zex-10_14.htm
EX-10.12 - EX-10.12 - Pivotal Software, Inc.a2235275zex-10_12.htm
EX-10.11 - EX-10.11 - Pivotal Software, Inc.a2235275zex-10_11.htm
EX-10.10 - EX-10.10 - Pivotal Software, Inc.a2235275zex-10_10.htm
EX-10.1 - EX-10.1 - Pivotal Software, Inc.a2235275zex-10_1.htm
EX-4.1 - EX-4.1 - Pivotal Software, Inc.a2235275zex-4_1.htm
EX-3.2 - EX-3.2 - Pivotal Software, Inc.a2235275zex-3_2.htm
EX-3.1 - EX-3.1 - Pivotal Software, Inc.a2235275zex-3_1.htm
EX-1.1 - EX-1.1 - Pivotal Software, Inc.a2235275zex-1_1.htm

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As filed with the Securities and Exchange Commission on April 12, 2018.

Registration No. 333-223872


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549



Amendment No. 2
to

FORM S-1
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933



Pivotal Software, Inc.
(Exact Name of Registrant as Specified in Its Charter)

Delaware
(State or Other Jurisdiction of
Incorporation or Organization)
  7372
(Primary Standard Industrial
Classification Code Number)
  94-3094578
(I.R.S. Employer
Identification Number)

875 Howard Street, Fifth Floor
San Francisco, California 94103
(415) 777-4868

(Address, Including Zip Code, and Telephone Number, Including Area Code, of Registrant's Principal Executive Offices)



Robert Mee
Chief Executive Officer
Pivotal Software, Inc.
875 Howard Street, Fifth Floor
San Francisco, California 94103
(415) 777-4868
(Name, Address, Including Zip Code, and Telephone Number, Including Area Code, of Agent For Service)



Copies to:

Alan F. Denenberg
Sarah K. Solum
Davis Polk & Wardwell LLP
1600 El Camino Real
Menlo Park, California 94025
(650) 752-2000

 

Andrew M. Cohen
General Counsel
Christopher Ing
Associate General Counsel
Pivotal Software, Inc.
875 Howard Street, Fifth Floor
San Francisco, California 94103
(415) 777-4868

 

Jeffrey R. Vetter
James D. Evans
Fenwick & West LLP
801 California Street
Mountain View, California 94041
(650) 988-8500

Approximate date of commencement of proposed sale to the public:
As soon as practicable after the effective date of this Registration Statement.

         If any of the securities being registered on this form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act of 1933, check the following box.    o

         If this form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering.    o

         If this form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering.    o

         If this form is a post-effective amendment filed pursuant to Rule 462(d) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering.    o

         Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company or an emerging growth company. See the definitions of "large accelerated filer," "accelerated filer," "smaller reporting company" and "emerging growth company" in Rule 12b-2 of the Exchange Act.

Large accelerated filer o   Accelerated filer o   Non-accelerated filer ý
(Do not check if a
smaller reporting company)
  Smaller reporting company o

Emerging growth company ý

         If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act.    ý

         The registrant hereby amends this registration statement on such date or dates as may be necessary to delay its effective date until the registrant shall file a further amendment which specifically states that this registration statement shall thereafter become effective in accordance with Section 8(a) of the Securities Act of 1933, as amended, or until the registration statement shall become effective on such date as the Securities and Exchange Commission, acting pursuant to said Section 8(a), may determine.

   



EXPLANATORY NOTE

        This Amendment No. 2 is being filed for the purpose of filing Exhibits 1.1, 3.1, 3.2, 4.1, 10.1, 10.10, 10.11, 10.12, 10.14 and 10.15 and refiling Exhibit 21.1 to the Registration Statement (Registration No. 333-223872). No changes or additions are being made hereby to the prospectus constituting Part I of the Registration Statement or to Item 13, 14, 15 or 17 of Part II of the Registration Statement. Accordingly, such prospectus and Items 13, 14, 15 and 17 of Part II have not been included in this Amendment No. 2.



PART II
INFORMATION NOT REQUIRED IN PROSPECTUS

Item 16.    Exhibits and Financial Statement Schedules

        The following exhibits are filed as part of this registration statement:

Exhibit
Number
  Description
  1.1   Form of Underwriting Agreement

 

3.1

 

Form of Amended and Restated Certificate of Incorporation of Pivotal Software, Inc. (the "Company"), to be in effect prior to the closing of this offering

 

3.2

 

Form of Amended and Restated Bylaws of the Company, to be in effect prior to the closing of this offering

 

4.1

 

Form of Class A Common Stock Certificate

 

5.1

**

Opinion of Davis Polk & Wardwell LLP

 

10.1

 

Form of Amended and Restated Shareholders' Agreement, among certain stockholders and the Company, to be in effect prior to the closing of this offering

 

10.2

†**

Amended and Restated 2013 Stock Plan of the Company

 

10.3

†**

Form of Non-Qualified Stock Option Agreement pursuant to the 2013 Stock Plan of the Company

 

10.4

†**

Form of Indemnification Agreement, between the Company and its directors and executive officers

 

10.5

†**

Form of Change in Control Severance Agreement, between the Company and its executive officers, as currently in effect

 

10.6

**

Form of Amended and Restated Agent Agreement, between the Company and EMC Corporation

 

10.7

**

Third Restated Agency Agreement, between the Company and VMware, Inc., dated March 20, 2018

 

10.8

†**

Fiscal Year 2018 Executive Incentive Program of the Company

 

10.9

**

Tax Sharing Agreement, between the Company and Dell Technologies Inc., EMC Corporation and their respective affiliates, dated February 8, 2017

 

10.10

 

Form of Master Transaction Agreement, between the Company and Dell Technologies Inc., to be in effect prior to the closing of this offering

 

10.11

 

Form of Shared Services Agreement, between the Company and Dell Inc.

 

10.12

 

Form of Employee Matters Agreement, between the Company, VMware, Inc. and Dell Inc.

 

10.13

†**

2018 Equity Incentive Plan of the Company

 

10.14


Form of Restricted Stock Unit Agreement for U.S. Participants pursuant to the 2018 Equity Incentive Plan of the Company

 

10.15


Form of Non-Qualified Stock Option Agreement for U.S. Participants pursuant to the 2018 Equity Incentive Plan of the Company

 

10.16

†**

Employee Stock Purchase Plan of the Company

 

10.17

†**

Director Compensation Policy of the Company

II-1


Exhibit
Number
  Description
  21.1   Significant Subsidiaries of the Company

 

23.1

**

Consent of Independent Registered Public Accounting Firm

 

23.2

**

Consent of Davis Polk & Wardwell LLP (included in Exhibit 5.1)

 

24.1

**

Power of Attorney

Indicates management contract or compensatory plan.

**
Previously filed.

II-2



EXHIBIT INDEX

Exhibit
Number
  Description
  1.1   Form of Underwriting Agreement
        
  3.1   Form of Amended and Restated Certificate of Incorporation of Pivotal Software, Inc. (the "Company"), to be in effect prior to the closing of this offering
        
  3.2   Form of Amended and Restated Bylaws of the Company, to be in effect prior to the closing of this offering
        
  4.1   Form of Class A Common Stock Certificate
        
  5.1 ** Opinion of Davis Polk & Wardwell LLP
        
  10.1   Form of Amended and Restated Shareholders' Agreement, among certain stockholders and the Company, to be in effect prior to the closing of this offering
        
  10.2 †** Amended and Restated 2013 Stock Plan of the Company
        
  10.3 †** Form of Non-Qualified Stock Option Agreement pursuant to the 2013 Stock Plan of the Company
        
  10.4 †** Form of Indemnification Agreement, between the Company and its directors and executive officers
        
  10.5 †** Form of Change in Control Severance Agreement, between the Company and its executive officers, as currently in effect
        
  10.6 ** Form of Amended and Restated Agent Agreement, between the Company and EMC Corporation
        
  10.7 ** Third Restated Agency Agreement, between the Company and VMware, Inc., dated March 20, 2018
        
  10.8 †** Fiscal Year 2018 Executive Incentive Program of the Company
        
  10.9 ** Tax Sharing Agreement, between the Company and Dell Technologies Inc., EMC Corporation and their respective affiliates, dated February 8, 2017
        
  10.10   Form of Master Transaction Agreement, between the Company and Dell Technologies Inc., to be in effect prior to the closing of this offering
        
  10.11   Form of Shared Services Agreement, between the Company and Dell Inc.
        
  10.12   Form of Employee Matters Agreement, between the Company, VMware, Inc. and Dell Inc.
        
  10.13 †** 2018 Equity Incentive Plan of the Company
        
  10.14 Form of Restricted Stock Unit Agreement for U.S. Participants pursuant to the 2018 Equity Incentive Plan of the Company
        
  10.15 Form of Non-Qualified Stock Option Agreement for U.S. Participants pursuant to the 2018 Equity Incentive Plan of the Company
        
  10.16 †** Employee Stock Purchase Plan of the Company
        
  10.17 †** Director Compensation Policy of the Company
        
  21.1   Significant Subsidiaries of the Company
        
  23.1 ** Consent of Independent Registered Public Accounting Firm
        
  23.2 ** Consent of Davis Polk & Wardwell LLP (included in Exhibit 5.1)
 
   

II-3


Exhibit
Number
  Description
  24.1 ** Power of Attorney

Indicates management contract or compensatory plan.

**
Previously filed.

II-4



SIGNATURES

        Pursuant to the requirements of the Securities Act of 1933, the registrant has duly caused this amendment to registration statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of San Francisco, State of California, on the 12th day of April, 2018.

    PIVOTAL SOFTWARE, INC.

 

 

By:

 

/s/ ROBERT MEE

        Name:   Robert Mee
        Title:   Chief Executive Officer

        Pursuant to the requirements of the Securities Act of 1933, this amendment to registration statement has been signed by the following persons in the capacities and on the dates indicated.

Signature
 
Title
 
Date

 

 

 

 

 

 

 
/s/ ROBERT MEE

Robert Mee
  Chief Executive Officer and Director (Principal Executive Officer)   April 12, 2018

/s/ CYNTHIA GAYLOR

Cynthia Gaylor

 

Chief Financial Officer
(Principal Financial Officer and Principal Accounting Officer)

 

April 12, 2018

*

Paul Maritz

 

Chairman of the Board

 

April 12, 2018

*

Michael S. Dell

 

Director

 

April 12, 2018

 

Zane Rowe

 

Director

 

             , 2018

*

Egon Durban

 

Director

 

April 12, 2018

*

William D. Green

 

Director

 

April 12, 2018

*

Marcy S. Klevorn

 

Director

 

April 12, 2018

II-5


Signature
 
Title
 
Date

 

 

 

 

 

 

 
*

Khozema Z. Shipchandler
  Director   April 12, 2018

*By:

 

/s/ ANDREW COHEN

Andrew Cohen
Attorney-in-Fact

 

 

 

 

II-6




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EXPLANATORY NOTE
PART II INFORMATION NOT REQUIRED IN PROSPECTUS
EXHIBIT INDEX
SIGNATURES