Schultz John F's Form 4 filing
Hewlett Packard Enterprise Co (HPE) · filed Jun 14, 2023
- Accession no.
- 0001062993-23-013590
- 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 4 derivative transactions. Open-market sales total $3.62M. 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 |
|---|---|
| Schultz John FCIK 0001548933 | Officer (EVP, COLO) |
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 | −226,078 | $16.01F2 | −$3,619,508.78 | 224,491.13 | 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 | +846.93 | –F4 | – | 61,842.93 | Direct | |
| Jan 13, 2023 | Common Stock | AGrant or awardAcquired | +1,547.87 | –F5 | – | 109,466.87 | Direct | |
| Jan 13, 2023 | Common Stock | AGrant or awardAcquired | +309.58 | –F6 | – | 21,579.58 | Direct | |
| Jan 13, 2023 | Common Stock | AGrant or awardAcquired | +2,960.17 | –F7 | – | 202,469.17 | 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 $16.00 to $16.045. 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 12/10/20 the reporting person was granted 178,424 restricted stock units ("RSUs"), 59,474 of which vested on 12/10/21, 57,081 of which vested on 12/10/22, and 57,081 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 416.3964 dividend equivalent rights at $16.45 per RSU credited to the reporting person's account on 01/13/23, and 430.5292 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 12/09/21 the reporting person was granted 162,549 RSUs, 54,183 of which vested on 12/09/22, 52,161 of which will vest on 12/09/23, and 52,162 of which will vest on 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 761.0188 dividend equivalent rights at $16.45 per RSU credited to the reporting person's account on 01/13/23, and 786.8485 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.
- F6
As previously reported, on 06/21/22, the reporting person was granted 32,510 RSUs, 10,836 of which vested on 12/09/22, 10,432 of which will vest on 12/09/23, and 10,433 of which will vest on 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 152.2067 dividend equivalent rights at $16.45 per RSU credited to the reporting person's account on 01/13/23, and 157.3727 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.
- F7
As previously reported, on 12/08/22, the reporting person was granted 199,509 RSUs, 66,503 of which will vest on each of 12/08/23, 12/08/24 and 12/08/25. 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 1,455.3848 dividend equivalent rights at $16.45 per RSU credited to the reporting person's account on 01/13/23, and 1,504.7819 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 03/07/23.