MacDonald Neil B's Form 4 filing
Hewlett Packard Enterprise Co (HPE) · filed Oct 26, 2021
- Accession no.
- 0001179706-21-000120
- Filed
- Oct 26, 2021
- Trade date
- Jan 6-Oct 26, 2021
- Filing delay
- 293 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 4 derivative transactions. Open-market sales total $132.0K. It was filed 293 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 |
|---|---|
| MacDonald Neil BCIK 0001812556 | Officer (SVP, GM of Compute) |
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 23, 2021 | Common Stock | MOption exerciseAcquired | +13,470 | $15.36 | +$206,899.2 | 41,184.7 | Direct | |
| Oct 23, 2021 | Common Stock | FTax withholdingDisposed | −4,658 | $15.36 | −$71,546.88 | 36,526.7 | Direct | |
| Oct 26, 2021 | Common Stock | SSaleDisposed | −8,535 | $15.46 | −$131,951.1 | 27,991.7 | 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 | +279.88 | –F4 | – | 9,137.88 | Direct | |
| Oct 23, 2021 | Common Sstock | MOption exerciseDisposed | −13,470 | –F5 | – | 13,470 | Direct | |
| Jan 6, 2021 | Common Stock | AGrant or awardAcquired | +786.61 | –F6 | – | 24,974.61 | Direct | |
| Jan 6, 2021 | Common Stock | AGrant or awardAcquired | +2,102.83 | –F7 | – | 63,983.83 | 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.
- F4
As previously reported, on 12/10/18, the reporting person was granted 24,708 Restricted Stock Units ("RSUs"), 8,236 of which vested on each of 12/10/19 and 12/10/20, and 8,236 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 82.0864 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, 62.1585 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21, 68.4432 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 67.1869 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.
- F5
As previously reported, on 10/23/19, the reporting person was granted 37,453 RSUs, 12,484 of which vested on 10/23/20, 12,484 of which vested on 10/23/21, and 12,485 of which will vest on 10/23/22. 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 248.8605 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, 188.4453 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21, 207.4986 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 203.6900 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21. The number of derivative securities in column 5 also includes 986 vested RSU dividend equivalent rights and a de minimus adjustment of 0.5056 due to fractional rounding of the dividen
Referenced by the price of 1 transaction in Table II.
- F6
As previously reported, on 12/10/19, the reporting person was granted 34,722 RSUs, 11,574 of which vested on 12/10/20, and 11,574 of which will vest on each of 12/10/21 and 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 230.7110 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, 174.7019 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21, 192.3657 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 188.8348 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 61,881 RSUs, 20,627 of which will vest on each of 12/10/21, 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 616.7542 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, 467.0264 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21, 514 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 504.8076 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.