Form 4 for HPE Hewlett Packard Enterprise
Accepted 2022-12-13 00:00:00 ET · period of report 2022-12-09 · accession 0001062993-22-023860 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2022-12-13 | 2022-12-09+ | HPE | Rothman Irv | Pres, CEO Financial Services | F - Tax | $16.15 | -52.1K | 30.8K | -63% | -$841.1K |
| DM | 2022-12-13 | 2022-12-09+ | HPE | Rothman Irv | Pres, CEO Financial Services | M - OptEx | $16.15 | +48.8K | 32.7K | New | +$787.7K |
| DM | 2022-12-13 | 2022-12-09 | HPE | Rothman Irv | Pres, CEO Financial Services | A - Grant | $16.15 | +54.3K | 72.1K | +305% | +$876.5K |
| DM | 2022-12-13 | 2022-12-09+ | HPE | Rothman Irv | Pres, CEO Financial Services | M - OptEx | — | -48.8K | 0 | -100% | — |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-12-09 | F | D | 21,091 | $16.15 | 50,963 | D | — | — | |
| 2 | Common | Common Stock | 2022-12-09 | F | D | 10,024 | $16.15 | 9,571 | D | — | — | |
| 3 | Common | Common Stock | 2022-12-10 | M | A | 12,325 | $16.15 | 21,896 | D | — | — | |
| 4 | Common | Common Stock | 2022-12-10 | F | D | 6,046 | $16.15 | 15,850 | D | — | — | |
| 5 | Common | Common Stock | 2022-12-09 | M | A | 19,595 | $16.15 | 19,595 | D | — | — | |
| 6 | Common | Common Stock | 2022-12-10 | F | D | 8,252 | $16.15 | 24,454 | D | — | — | |
| 7 | Common | Common Stock | 2022-12-09 | A | A | 13,038 | $16.15 | 37,492 | D | — | — | (F1) On 12/10/19 the reporting person was granted performance adjusted restricted stock units ("PARSUs") subject to Non-GAAP Net Income and relative total stockholder return conditions being met at the time of vesting. These PARSUs vest 50% after 2 and 3 years subject to performance and are issued in Issuer's common stock. |
| 8 | Common | Common Stock | 2022-12-09 | F | D | 6,670 | $16.15 | 30,822 | D | — | — | |
| 9 | Common | Common Stock | 2022-12-09 | A | A | 41,232 | $16.15 | 72,054 | D | — | — | (F2) On 12/10/20 the reporting person was granted PARSUs subject to Non-GAAP Net Income and relative total stockholder return conditions being met at the time of vesting. These PARSUs vest 50% after 2 and 3 years subject to performance and are issued in Issuer's common stock. |
| 10 | Common | Common Stock | 2022-12-10 | M | A | 16,856 | $16.15 | 32,706 | D | — | — | |
| 11 | Derivative | Restricted Stock Units | 2022-12-09 | M | D | 19,595 | — | 39,186 | D | — · — to — | 19,595 Common Stock | (F6) As previously reported, on 12/09/21 the reporting person was granted 56,892 RSUs, 18,964 of which vested on 12/09/22, and 18,964 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 also includes 631 vested dividend equivalent rights and a de minimus adjustment of 0.9087 due to fractional rounding of the dividend equivalent rights. (F3) Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. |
| 12 | Derivative | Restricted Stock Units | 2022-12-10 | M | D | 16,856 | — | 16,855 | D | — · — to — | 16,856 Common Stock | (F5) As previously reported, on 12/10/20 the reporting person was granted 49,505 RSUs, 16,501 of which vested on 12/10/21, 15,771 of which vested on 12/10/22 and 15,772 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 also includes 1,085 vested dividend equivalent rights and a de minimus adjustment of 0.1734 due to fractional rounding of the dividend equivalent rights. (F3) Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. |
| 13 | Derivative | Restricted Stock Units | 2022-12-10 | M | D | 12,325 | — | 0 | D | — · — to — | 12,325 Common stock | (F4) As previously reported, on 12/10/19 the reporting person was granted 34,722 restricted stock units ("RSUs"), 11,574 of which vested on 12/10/20, 11,061 of which vested on 12/10/21, and 11,062 of which vested 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 also includes 1,263 vested dividend equivalent rights and a de minimus adjustment of 0.8822 due to fractional rounding of the dividend equivalent rights. (F3) Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. |