Ricci Jeff T's Form 4 filing
Hewlett Packard Enterprise Co (HPE) · filed Dec 16, 2021
- Accession no.
- 0001062993-21-013057
- Filed
- Dec 16, 2021
- Trade date
- Dec 14-15, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $450.3K. It was filed 2 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 |
|---|---|
| Ricci Jeff TCIK 0001591357 | Officer (SVP, Controller & PAO) |
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 14, 2021 | Common Stock | SSaleDisposed | −30,947 | $14.55 | −$450,278.85 | 0 | Direct | |
| Dec 15, 2021 | Common Stock | MOption exerciseAcquired | +1,240 | $14.79 | +$18,339.6 | 1,240 | Direct | |
| Dec 15, 2021 | Common Stock | FTax withholdingDisposed | −1,240 | $14.79 | −$18,339.6 | 0 | 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 15, 2021 | Common Stock | MOption exerciseDisposed | −1,240 | –F3 | – | 35,728 | 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.
- F3
As previously reported, on 12/10/20 the reporting person was granted 53,630 Restricted Stock Units ("RSUs"), 17,876 of which vested on 12/10/21, and 17,257 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 vesting amounts and number of derivative securities in column 5 reflect the reporting person's early retirement eligibility and early withholding of RSUs for payment of FICA taxes.
Referenced by the price of 1 transaction in Table II.