Hotard Justin's Form 4 filing
Hewlett Packard Enterprise Co (HPE) · filed Oct 21, 2021
- Accession no.
- 0001179706-21-000116
- Filed
- Oct 21, 2021
- Trade date
- Jul 7-Oct 21, 2021
- Filing delay
- 106 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 6 derivative transactions. Open-market sales total $189.3K. It was filed 106 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 |
|---|---|
| Hotard JustinCIK 0001848136 | Officer (SVP, GM, HPC and MCS) |
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 19, 2021 | Common Stock | MOption exerciseAcquired | +38 | $15.37 | +$584.06 | 38 | Direct | |
| Oct 19, 2021 | Common Stock | FTax withholdingDisposed | −13 | $15.37 | −$199.81 | 25 | Direct | |
| Oct 19, 2021 | Common Stock | MOption exerciseAcquired | +17,966 | $15.37 | +$276,137.42 | 17,991 | Direct | |
| Oct 19, 2021 | Common Stock | FTax withholdingDisposed | −5,705 | $15.37 | −$87,685.85 | 12,286 | Direct | |
| Oct 21, 2021 | Common Stock | SSaleDisposed | −12,286 | $15.41 | −$189,327.26 | 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 19, 2021 | Common Stock | MOption exerciseDisposed | −38 | –F3 | – | 0 | Direct | |
| Oct 19, 2021 | Common Stock | MOption exerciseDisposed | −17,966 | –F4 | – | 0 | Direct | |
| Jul 7, 2021 | Common Stock | AGrant or awardAcquired | +357.91 | –F5 | – | 24,114.56 | Direct | |
| Jul 7, 2021 | Common Stock | AGrant or awardAcquired | +589.14 | –F6 | – | 38,598.7 | Direct | |
| Jul 7, 2021 | Common Stock | AGrant or awardAcquired | +883.18 | –F7 | – | 55,452.45 | Direct | |
| Jul 7, 2021 | Common Stock | AGrant or awardAcquired | +965.37 | –F8 | – | 60,028.79 | 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.
- F3
As previously reported, on 10/19/18, the reporting person was granted 100 restricted stock units ("RSUs"), 32 of which vested on 10/19/19, 34 of which vested on 10/19/20, and 34 of which vested on 10/19/21. 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 0.2825 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 0.2774 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21. The number of shares in column 5 also includes 4 vested RSU dividend equivalent rights and a de minimus adjustment of 0.8446 due to fractional rounding of the dividend equivalent rights at $15.37 per RSU credited to the reporting person's account on 10/19/21.
Referenced by the price of 1 transaction in Table II.
- F4
As previously reported, on 10/19/18, the reporting person was granted 48,575 RSUs, 16,191 of which vested on 10/19/19, 16,192 of which vested on 10/19/20, and 16,192 of which vested on 10/19/21. 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 134.5596 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 132.0897 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21. The number of shares in column 5 also includes 1,774 vested RSU dividend equivalent rights and a de minimus adjustment of 0.7648 due to fractional rounding of the dividend equivalent rights at $15.37 per RSU credited to the reporting person's account on 10/19/21.
Referenced by the price of 1 transaction in Table II.
- F5
As previously reported, on 12/10/18, the reporting person was granted 65,202 RSUs, 21,734 of which vested on each of 12/10/19 and 12/10/20, and 21,734 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 180.6150 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 177.2998 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 53,662 RSUs, 17,887 of which vested on 12/10/20, 17,887 of which will vest on 12/10/21, and 17,888 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 297.2992 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 291.8423 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 53,630 RSUs, 17,876 of which will vest on 12/10/21, and 17,877 of which will vest on each of 12/10/22 and 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 445.6787 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 437.4983 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.
- F8
As previously reported, on 03/02/21, the reporting person was granted 58,621 Restricted Stock Units ("RSUs"), 19,540 of which will vest on each of 03/02/22 and 03/02/23, and 19,541 of which will vest on 03/02/24. 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 487.1551 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 478.2135 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.