Gold Gerri's Form 4 filing
Hewlett Packard Enterprise Co (HPE) · filed Mar 7, 2024
- Accession no.
- 0001062993-24-005878
- Filed
- Mar 7, 2024
- Trade date
- Jan 11-Mar 5, 2024
- Filing delay
- 56 daysLate
- Rule 10b5-1 plan
- Checked
This filing lists 2 non-derivative transactions and 4 derivative transactions. Open-market sales total $241.3K. It was filed 56 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 |
|---|---|
| Gold GerriCIK 0001866815 | Officer (EVP, Pres & CEO Financial Serv) |
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 |
|---|---|---|---|---|---|---|---|---|
| Mar 5, 2024 | Common Stock | MOption exerciseAcquired | +13,399 | $14.67 | +$196,563.33 | 93,264 | Direct | |
| Mar 5, 2024 | Common Stock | SSaleDisposed | −13,399 | $18.01F1 | −$241,315.99 | 79,865 | 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 5, 2024 | Common Stock | MOption exerciseDisposed | −13,399 | $0.00 | $0 | 0 | Direct | |
| Jan 11, 2024 | Common Stock | AGrant or awardAcquired | +78 | –F5 | – | 10,528 | Direct | |
| Jan 11, 2024 | Common Stock | AGrant or awardAcquired | +542.64 | –F6 | – | 70,966.64 | Direct | |
| Jan 11, 2024 | Common Stock | AGrant or awardAcquired | +738.96 | –F7 | – | 93,790.96 | 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 of $18.0077. The prices actually paid ranged from $18.00 to $18.025. 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.
- F5
As previously reported, on 12/09/21, the reporting person was granted 30,884 restricted stock units ("RSUs"), 11,240 of which vested on 12/09/22, 9,822 of which vested on 12/09/23, and 9,822 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 reflects 78.00 dividend equivalent rights at $16.37 per RSU credited to the reporting person's account on 01/11/24.
Referenced by the price of 1 transaction in Table II.
- F6
As previously reported, on 12/08/22, the reporting person was granted 107,428 RSUs, 35,809 of which vested on 12/08/23, 34,165 of which will vest on 12/08/24, and 34,166 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 542.6408 dividend equivalent rights at $16.37 per RSU credited to the reporting person's account on 01/11/24.
Referenced by the price of 1 transaction in Table II.
- F7
As previously reported, on 12/07/23, the reporting person was granted 93,052 RSUs, 31,017 of which will vest on each of 12/07/24 and 12/07/25, and 31,018 of which will vest on 12/07/26. 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 738.9591 dividend equivalent rights at $16.37 per RSU credited to the reporting person's account on 01/11/24.
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.