Neri Antonio F's Form 4 filing
Hewlett Packard Enterprise Co (HPE) · filed Sep 11, 2023
- Accession no.
- 0001062993-23-017923
- Filed
- Sep 11, 2023
- Trade date
- Jan 13-Sep 7, 2023
- Filing delay
- 241 daysLate
- Rule 10b5-1 plan
- Checked
This filing lists 2 non-derivative transactions and 4 derivative transactions. Open-market sales total $7.60M. It was filed 241 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 |
|---|---|
| Neri Antonio FCIK 0001648401 | Director, Officer (President and CEO) |
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 7, 2023 | Common Stock | MOption exerciseAcquired | +434,884 | $8.83 | +$3,840,025.72 | 1,805,175 | Direct | |
| Sep 7, 2023 | Common Stock | SSaleDisposed | −434,884 | $17.48F2 | −$7,601,772.32 | 1,370,291 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 7, 2023 | Common Stock | MOption exerciseDisposed | −434,884 | $0.00 | $0 | 0 | Direct | |
| Jan 13, 2023 | Common Stock | AGrant or awardAcquired | +3,632.39 | –F6 | – | 180,658.39 | Direct | |
| Jan 13, 2023 | Common Stock | AGrant or awardAcquired | +5,953.89 | –F7 | – | 286,545.89 | Direct | |
| Jan 13, 2023 | Common Stock | AGrant or awardAcquired | +10,106.11 | –F8 | – | 470,511.11 | 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 $17.37 to $17.565. 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.
- F6
As previously reported, on 12/10/20 the reporting person was granted 515,677 restricted stock units ("RSUs"), 171,892 of which vested on 12/10/21, 171,892 of which vested on 12/10/22, and 165,481 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 reflects 1,207.1562 dividend equivalent rights at $16.45 per RSU credited to the reporting person's account on 01/13/23, 1,248.1282 dividend equivalent rights at $15.91 per RSU credited to the reporting person's account on 04/14/23, and 1,177.1025 dividend equivalent rights at $16.87 per RSU credited to the reporting person's account on 07/14/23.
Referenced by the price of 1 transaction in Table II.
- F7
As previously reported, on 12/09/21 the reporting person was granted 422,627 RSUs, 140,875 of which vested on 12/09/22, and 135,621 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 reflects 1,978.6650 dividend equivalent rights at $16.45 per RSU credited to the reporting person's account on 01/13/23, 2,045.8228 dividend equivalent rights at $15.91 per RSU credited to the reporting person's account on 04/14/23, and 1,929.4037 dividend equivalent rights at $16.87 per RSU credited to the reporting person's account on 07/14/23.
Referenced by the price of 1 transaction in Table II.
- F8
As previously reported, on 12/08/22, the reporting person was granted 460,405 RSUs, 153,468 of which will vest on each of 12/08/23 and 12/08/24, and 153,469 of which will vest on 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 reflects 3,358.5775 dividend equivalent rights at $16.45 per RSU credited to the reporting person's account on 01/13/23, 3,472.5707 dividend equivalent rights at $15.91 per RSU credited to the reporting person's account on 04/14/23, and 3,274.9615 dividend equivalent rights at $16.87 per RSU credited to the reporting person's account on 07/14/23.
Referenced by the price of 1 transaction in Table II.
Remarks
The reported transaction occurred pursuant to a trading plan adopted on 06/07/23.