Karros Kirt P's Form 4 filing
Hewlett Packard Enterprise Co (HPE) · filed Jun 14, 2023
- Accession no.
- 0001062993-23-013589
- Filed
- Jun 14, 2023
- Trade date
- Jan 13-Jun 12, 2023
- Filing delay
- 152 daysLate
- Rule 10b5-1 plan
- Checked
This filing lists 1 non-derivative transaction and 3 derivative transactions. Open-market sales total $534.7K. It was filed 152 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 |
|---|---|
| Karros Kirt PCIK 0001584883 | Officer (SVP, Treasurer & IR) |
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 12, 2023 | Common Stock | SSaleDisposed | −33,417 | $16.00F1 | −$534,672 | 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 13, 2023 | Common Stock | AGrant or awardAcquired | +265.25 | –F3 | – | 19,342.25 | Direct | |
| Jan 13, 2023 | Common Stock | AGrant or awardAcquired | +482.36 | –F4 | – | 34,070.36 | Direct | |
| Jan 13, 2023 | Common Stock | AGrant or awardAcquired | +2,094.89 | –F5 | – | 143,285.89 | 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.
- F1
The price in Column 4 is a weighted average price. The prices actually paid ranged from $16 to $16.015. 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.
- 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, 17,877 of which vested on 12/10/22, and 17,877 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 130.4097 dividend equivalent rights at $16.45 per RSU credited to the reporting person's account on 01/13/23, and 134.8360 dividend equivalent rights at $15.91 per RSU credited to the reporting person's account on 04/14/23.
Referenced by the price of 1 transaction in Table II.
- F4
As previously reported, on 12/09/21 the reporting person was granted 48,765 RSUs, 16,255 of which vested on 12/09/22, and 16,255 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. The number of derivative securities in column 5 includes 237.1550 dividend equivalent rights at $16.45 per RSU credited to the reporting person's account on 01/13/23, and 245.2043 dividend equivalent rights at $15.91 per RSU credited to the reporting person's account on 04/14/23.
Referenced by the price of 1 transaction in Table II.
- F5
As previously reported, on 12/08/22, the reporting person was granted 141,191 RSUs, 47,063 of which will vest on 12/08/23, and 47,064 of which will vest on each of 12/08/24 and 12/08/25. Dividend equivalent rights accruewith respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 1,029.9647 dividend equivalent rights at $16.45 per RSU credited to the reporting person's account on 01/13/23, and 1,064.9227 dividend equivalent rights at $15.91 per RSU credited to the reporting person's account on 04/14/23.
Referenced by the price of 1 transaction in Table II.
Remarks
The reported transaction occurred pursuant to a trading plan adopted on 03/06/23.