Neri Antonio F's Form 4 filing
Hewlett Packard Enterprise Co (HPE) · filed Oct 19, 2021
- Accession no.
- 0001179706-21-000112
- Filed
- Oct 19, 2021
- Trade date
- Jan 6-Oct 15, 2021
- Filing delay
- 286 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 4 derivative transactions. Open-market sales total $1.34M. It was filed 286 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 | 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 15, 2021 | Common Stock | MOption exerciseAcquired | +88,136 | $8.92 | +$786,173.12 | 482,176 | Direct | |
| Oct 15, 2021 | Common Stock | SSaleDisposed | −88,136 | $15.26F2 | −$1,344,955.36 | 394,040 | 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 6, 2021 | Common Stock | AGrant or awardAcquired | +3,945.5 | –F5 | – | 128,825.5 | Direct | |
| Jan 6, 2021 | Common Stock | AGrant or awardAcquired | +7,687.42 | –F6 | – | 244,080.42 | Direct | |
| Jan 6, 2021 | Common Stock | AGrant or awardAcquired | +17,523.69 | –F7 | – | 533,200.69 | Direct | |
| Oct 15, 2021 | Common Stock | MOption exerciseDisposed | −88,136 | $0.00 | $0 | 0 | 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 ranged from $15.2500 to $15.2850. 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 at each price within the range.
Referenced by the price of 1 transaction in Table I.
- F5
As previously reported, on 12/10/18 the reporting person was granted 348,318 Restricted Stock Units ("RSUs"), 116,106 of which vested on each of 12/10/19 and 12/10/20, and 116,106 of which will vest on 12/10/21. 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 1,157.2027 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, 876.2717 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21, 964.8698 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 947.1598 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21.
Referenced by the price of 1 transaction in Table II.
- F6
As previously reported, on 12/10/19 the reporting person was granted 339,331 RSUs, 113,110 of which vested on 12/10/20, 113,110 of which will vest on 12/10/21, and 113,111 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 2,254.6944 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, 1,707.3283 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21, 1,879.9529 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 1,845.4466 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21.
Referenced by the price of 1 transaction in Table II.
- F7
As previously reported, on 12/10/20 the reporting person was granted 515,677 RSUs, 171,892 of which will vest on each of 12/10/21 and 12/10/22, and 171,893 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 5,139.6379 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, 3,891.9019 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21, 4,285.4044 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 4,206.7464 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21.
Referenced by the price of 1 transaction in Table II.