Rothman Irv's Form 4 filing
Hewlett Packard Enterprise Co (HPE) · filed Sep 13, 2022
- Accession no.
- 0001062993-22-019519
- Filed
- Sep 13, 2022
- Trade date
- Jan 7-Sep 9, 2022
- Filing delay
- 249 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 1 non-derivative transaction and 3 derivative transactions. Open-market sales total $934.6K. It was filed 249 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 |
|---|---|
| Rothman IrvCIK 0001733072 | Officer (Pres & CEO Financial Services) |
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 |
|---|---|---|---|---|---|---|---|---|
| Sep 9, 2022 | Common Stock | SSaleDisposed | −70,115 | $13.33F2 | −$934,632.95 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 7, 2022 | Common stock | AGrant or awardAcquired | +260.58 | –F4 | – | 12,217.58 | Direct | |
| Jan 7, 2022 | Common Stock | AGrant or awardAcquired | +743.04 | –F5 | – | 33,407.04 | Direct | |
| Jan 7, 2022 | Common Stock | AGrant or awardAcquired | +1,340.17 | –F6 | – | 58,232.17 | 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 $13.30 to $13.39. 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 34,722 Restricted Stock Units ("RSUs"), 11,574 of which vested on 12/10/20, 11,061 of which vested on 12/10/21, and 11,062 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 77.4921 dividend equivalent rights at $17.13 per RSU credited to the reporting person's account on 01/07/22, 82.4497 dividend equivalent rights at $16.10 per RSU credited to the reporting person's account on 04/08/22, and 100.6399 dividend equivalent rights at $13.19 per RSU credited to the reporting person's account on 07/08/22.
Referenced by the price of 1 transaction in Table II.
- F5
As previously reported, on 12/10/20 the reporting person was granted 49,505 RSUs, 16,501 of which vested on 12/10/21, 15,771 of which will vest on 12/10/22 and 15,772 of which will vest on 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 220.9667 dividend equivalent rights at $17.13 per RSU credited to the reporting person's account on 01/07/22, 235.1031 dividend equivalent rights at $16.10 per RSU credited to the reporting person's account on 04/08/22, and 286.9719 dividend equivalent rights at $13.19 per RSU credited to the reporting person's account on 07/08/22.
Referenced by the price of 1 transaction in Table II.
- F6
As previously reported, on 12/09/21 the reporting person was granted 56,892 RSUs, 18,964 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 398.5429 dividend equivalent rights at $17.13 per RSU credited to the reporting person's account on 01/07/22, 424.0398 dividend equivalent rights at $16.10 per RSU credited to the reporting person's account on 04/08/22, and 517.5921 dividend equivalent rights at $13.19 per RSU credited to the reporting person's account on 07/08/22.
Referenced by the price of 1 transaction in Table II.