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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 | 11/02/2015 | A | 606,599 | 11/02/2016(4) | 11/02/2023(5) | Common Stock | 606,599 | $ 0 | 606,599 | D | ||||
Restricted Stock Units | (6) | 11/02/2015 | A | 180,766 (7) | (7) | (7) | Common Stock | 180,766 | (7) | 180,766 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LESJAK CATHERINE A C/O HP INC. 1501 PAGE MILL ROAD PALO ALTO, CA 94304 |
CFO |
Katie Colendich as Attorney-in-Fact for Catherine A. Lesjak | 11/04/2015 | |
**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 total direct beneficial ownership reflects a decrease of 6,282 shares due to the transfer of 6,282 shares into a Joint Account with the reporting person's spouse on 10/05/15. |
(2) | The total indirect beneficial ownership reflects an increase of 6,282 shares due to the transfer of 6,282 shares previously reported as being held directly by the reporting person into a Joint Account with the reporting person's spouse on 10/05/15. |
(3) | There is no reportable change since the last filing. This is a reiteration of holdings only. |
(4) | The performance contingent stock options will vest 33.3% on each of the first two anniversaries of the grant date, and 33.4% on the third anniversary, in each case subject to the satisfaction of certain stock price performance conditions being met within five years following the grant date. |
(5) | This option is no longer exercisable beginning on this date. |
(6) | Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. |
(7) | On 11/02/15 the reporting person was granted 180,766 restricted stock units ("RSUs"), 60,255 of which will vest on each of 11/02/16 and 11/02/17, and 60,256 of which will vest on 11/02/18. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. |