MacDonald Neil B's Form 4 filing
Hewlett Packard Enterprise Co (HPE) · filed Dec 13, 2021
- Accession no.
- 0001062993-21-012831
- Filed
- Dec 13, 2021
- Trade date
- Dec 9-13, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 13 non-derivative transactions and 4 derivative transactions. Open-market sales total $250.1K. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| MacDonald Neil BCIK 0001812556 | Officer (SVP, GM of Compute) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 10, 2021 | Common Stock | MOption exerciseAcquired | +8,236 | $15.21 | +$125,269.56 | 36,227.7 | Direct | |
| Dec 10, 2021 | Common Stock | FTax withholdingDisposed | −2,849 | $15.21 | −$43,333.29 | 33,378.7 | Direct | |
| Dec 10, 2021 | Common Stock | MOption exerciseAcquired | +902 | $15.21 | +$13,719.42 | 34,280.7 | Direct | |
| Dec 10, 2021 | Common Stock | FTax withholdingDisposed | −312 | $15.21 | −$4,745.52 | 33,968.7 | Direct | |
| Dec 10, 2021 | Common Stock | MOption exerciseAcquired | +11,574 | $15.21 | +$176,040.54 | 45,542.7 | Direct | |
| Dec 10, 2021 | Common Stock | FTax withholdingDisposed | −4,003 | $15.21 | −$60,885.63 | 41,539.7 | Direct | |
| Dec 10, 2021 | Common Stock | MOption exerciseAcquired | +914 | $15.21 | +$13,901.94 | 42,453.7 | Direct | |
| Dec 10, 2021 | Common Stock | FTax withholdingDisposed | −317 | $15.21 | −$4,821.57 | 42,136.7 | Direct | |
| Dec 10, 2021 | Common Stock | MOption exerciseAcquired | +20,627 | $15.21 | +$313,736.67 | 62,763.7 | Direct | |
| Dec 10, 2021 | Common Stock | FTax withholdingDisposed | −7,133 | $15.21 | −$108,492.93 | 55,630.7 | Direct | |
| Dec 10, 2021 | Common Stock | MOption exerciseAcquired | +702 | $15.21 | +$10,677.42 | 56,332.7 | Direct | |
| Dec 10, 2021 | Common Stock | FTax withholdingDisposed | −243 | $15.21 | −$3,696.03 | 56,089.7 | Direct | |
| Dec 13, 2021 | Common Stock | SSaleDisposed | −16,486 | $15.17 | −$250,092.62 | 39,603.7 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 10, 2021 | Common Stock | MOption exerciseDisposed | −8,236 | –F2 | – | 0 | Direct | |
| Dec 10, 2021 | Common Sstock | MOption exerciseDisposed | −11,574 | –F3 | – | 12,487 | Direct | |
| Dec 10, 2021 | Common Stock | MOption exerciseDisposed | −20,627 | –F4 | – | 42,655 | Direct | |
| Dec 9, 2021 | Common Stock | AGrant or awardAcquired | +97,529 | –F5 | – | 97,529 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
As previously reported, on 12/10/18, the reporting person was granted 24,708 Restricted Stock Units ("RSUs"), 8,236 of which vested on each of 12/10/19 and 12/10/20, and 8,236 of which vested on 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 902 vested RSU dividend equivalent rights and a de minimus adjustment of 0.1250 due to fractional rounding of the dividend.
Referenced by the price of 1 transaction in Table II.
- F3
As previously reported, on 12/10/19, the reporting person was granted 34,722 RSUs, 11,574 of which vested on 12/10/20, 11,574 of which vested on 12/10/21, and 11,574 of which will vest on 12/10/22. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 914 vested RSU dividend equivalent rights and a de minimus adjustment of 0.3866 due to fractional rounding of the dividend.
Referenced by the price of 1 transaction in Table II.
- F4
As previously reported, on 12/10/20 the reporting person was granted 61,881 RSUs, 20,627 of which vested on 12/10/21, and 20,627 of which will vest on each of 12/10/22 and 12/10/23. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 702 vested RSU dividend equivalent rights and a de minimus adjustment of 0.16530 due to fractional rounding of the dividend.
Referenced by the price of 1 transaction in Table II.
- F5
On 12/09/21 the reporting person was granted 97,529 RSUs, 32,509 of which will vest on 12/09/22, and 32,510 of which will vest on each of 12/09/23 and 12/09/24. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.
Referenced by the price of 1 transaction in Table II.