May Alan Richard's Form 4 filing
Hewlett Packard Enterprise Co (HPE) · filed Jun 7, 2022
- Accession no.
- 0001062993-22-014471
- Filed
- Jun 7, 2022
- Trade date
- Jan 7-Jun 3, 2022
- Filing delay
- 151 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 4 derivative transactions. Open-market sales total $1.43M. It was filed 151 days after the trade, past the 2-business-day deadline.
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 |
|---|---|
| May Alan RichardCIK 0001656207 | Officer (EVP, Chief People Officer) |
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 |
|---|---|---|---|---|---|---|---|---|
| Jun 3, 2022 | Common Stock | MOption exerciseAcquired | +94,705 | $10.48 | +$992,508.4 | 405,205 | Direct | |
| Jun 3, 2022 | Common Stock | SSaleDisposed | −94,705 | $15.08F2 | −$1,428,151.4 | 310,500 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 7, 2022 | Common Stock | AGrant or awardAcquired | +437.92 | –F4 | – | 33,216.92 | Direct | |
| Jan 7, 2022 | Common Stock | AGrant or awardAcquired | +1,253.74 | –F5 | – | 91,025.74 | Direct | |
| Jan 7, 2022 | Common Stock | AGrant or awardAcquired | +1,527.66 | –F6 | – | 107,184.66 | Direct | |
| Jun 3, 2022 | Common Stock | MOption exerciseDisposed | −94,705 | $0.00 | $0 | 0 | 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
The price in Column 4 is a weighted average price. The prices actually paid ranged from $15.0200 to $15.1250. Upon request, the reporting person will provide to the Issuer, any security holder of the Issuer, or the SEC staff information regarding the number of shares purchased at each price within the range.
Referenced by the price of 1 transaction in Table I.
- F4
As previously reported, on 12/10/19 the reporting person was granted 94,697 Restricted Stock Units ("RSUs"), 31,565 of which vested on 12/10/20, 31,566 of which vested on 12/10/21, and 31,566 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 includes 212.1751 dividend equivalent rights at $17.130 per RSU credited to the reporting person's account on 01/07/22, and 225.7491 dividend equivalent rights at $16.100 per RSU credited to the reporting person's account on 04/08/22.
Referenced by the price of 1 transaction in Table II.
- F5
As previously reported, on 12/10/20 the reporting person was granted 135,107 RSUs, 45,035 of which vested on 12/10/21, and 45,036 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 includes 607.43960 dividend equivalent rights at $17.130 per RSU credited to the reporting person's account on 01/07/22, and 646.30060 dividend equivalent rights at $16.100 per RSU credited to the reporting person's account on 04/08/22.
Referenced by the price of 1 transaction in Table II.
- F6
As previously reported, on 12/09/21 the reporting person was granted 105,657 RSUs, 35,219 of which will vest on each of 12/09/22, 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. The number of derivative securities in column 5 includes 740.15410 dividend equivalent rights at $17.130 per RSU credited to the reporting person's account on 01/07/22, and 787.50560 dividend equivalent rights at $16.100 per RSU credited to the reporting person's account on 04/08/22.
Referenced by the price of 1 transaction in Table II.