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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (right to buy) | $ 13.83 | 09/17/2015 | M | 151,844 (6) | 12/06/2014(3)(6) | 12/06/2020(4) | Common Stock | 151,844 | $ 0 | 0 | D | ||||
Restricted Stock Units | (5) | 09/17/2015 | M | 11,509 (7) | (6)(7) | (7) | Common Stock | 11,509 | (7) | 0 | D | ||||
Restricted Stock Units | (5) | 09/17/2015 | M | 7,281 (8) | (6)(8) | (8) | Common Stock | 7,281 | (8) | 7,281 | D | ||||
Restricted Stock Units | (5) | 09/17/2015 | M | 9,577 (9) | (6)(9) | (9) | Common Stock | 9,577 | (9) | 9,576 | D | ||||
Restricted Stock Units | (5) | 09/17/2015 | M | 7,471 (10) | (6)(10) | (10) | Common Stock | 7,471 | (10) | 14,941 | D | ||||
Performance Adjusted Restricted Stock Units | (5) | 09/17/2015 | M | 11,944 (11) | (6)(11) | (11) | Common Stock | 11,944 | (11) | 13,136 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Gomez Henry C/O HEWLETT-PACKARD COMPANY 3000 HANOVER STREET PALO ALTO, CA 94304 |
EVP, CM & CO |
/s/ Katie Colendich as Attorney-in-Fact for Henry Gomez | 09/21/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 03/06/14. |
(2) | The price in Column 4 is a weighted average price. The prices actually paid ranged from $27.69 to $28.10. 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. |
(3) | This option became exercisable beginning on this date. |
(4) | This option is no longer exercisable beginning on this date. |
(5) | Each restricted stock unit represents a contingent right to receive one share of HP common stock. |
(6) | On 07/29/15 the Issuer announced approved amendments to certain outstanding long-term incentive awards that were originally scheduled to vest between 09/18/15 and 12/31/15, to provide for the accelerated vesting on 09/17/15. |
(7) | As previously reported, on 12/06/12 the reporting person was granted 32,538 restricted stock units ("RSUs"), 10,846 of which vested on each of 12/06/13 and 12/06/14, and 10,846 of which vested early on 09/17/15. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on HP common stock. The number of derivative securities beneficially owned immediately prior to the transaction being reported includes 55.4605 dividend equivalent rights at $31.29 per RSU credited to the reporting person's account on 04/01/15 and 62.5457 dividend equivalent rights at $30.52 per RSU credited to the reporting person's account on 07/01/15. The number of derivative securities in column 5 includes 663 vested dividend equivalent rights and a de minimus adjustment of 0.3150 due to fractional rounding of the dividend equivalent rights. |
(8) | As previously reported, on 09/26/13 the reporting person was granted 21,127 RSUs, 7,042 of which vested on 09/26/14, 7,042 of which vested early on 09/17/15, and 7,043 of which will vest on 09/26/16. Dividend equivalent rights accrue with respect to these RSUs when as as dividends are paid on HP common stock. The number of derivative securities beneficially owned immediately prior to the transaction being reported includes 72.0230 dividend equivalent rights at $31.29 per RSU credited to the reporting person's account on 04/01/15 and 81.2241 dividend equivalent rights at $30.52 per RSU credited to the reporting person's account on 07/01/15. The number of derivative securities in column 5 includes 239 vested dividend equivalent rights and a de minimus adjustment of 0.8028 due to fractional rounding of the dividend equivalent rights. |
(9) | As previously reported, on 12/11/13 the reporting person was granted 27,789 RSUs, 9,263 of which vested on 12/11/14, and 9,263 of which vested early on 09/17/15, and 9,263 of which will vest on 12/11/16. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on HP common stock. The number of derivative securities beneficially owned immediately prior to the transaction being reported includes 94.7319 dividend equivalent rights at $31.29 per RSU credited to the reporting person's account on 04/01/15 and 106.8341 dividend equivalent rights at $30.52 per RSU credited to the reporting person's account on 07/01/15. The number of derivative securities in column 5 includes 314 vested dividend equivalent rights and a de minimus adjustment of 0.8264 due to fractional rounding of the dividend equivalent rights. |
(10) | As previously reported, on 12/10/14 the reporting person was granted 22,082 RSUs, 7,360 of which vested early on 09/17/15, and 7,361 of which will vest on each of 12/10/16 and 12/10/17. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on HP common stock. The number of derivative securities beneficially owned immediately prior to the transaction being reported includes 112.9153 dividend equivalent rights at $31.29 per RSU credited to the reporting person's account on 04/01/15 and 127.3405 dividend equivalent rights at $30.52 per RSU credited to the reporting person's account on 07/01/15. The number of derivative securities in column 5 includes 111 vested dividend equivalent rights and a de minimus adjustment of 0.8159 due to fractional rounding of the dividend equivalent rights. |
(11) | As previously reported, on 12/11/13 the reporting person was granted 25,080 performance adjusted restricted stock units ("PARSUs"), 50% of which vested early on 09/17/15, and 50% of which will vest on 12/11/16, in each case subject to certain return on invested capital performance conditions and/or relative total stockholder return conditions being met at the time of vesting. Dividend equivalent rights accrue with respect to these PARSUs when and as dividends are paid on HP common stock. The number of derivative securities in column 5 includes 430.8427 vested dividend equivalent rights accrued but not released since the grant date, and a de minimus adjustment of 0.4480 due to fractional rounding of the dividend equivalent rights. |