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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) | $ 6.4 | 03/09/2018 | M | 48,645 (2) (3) | 09/17/2015(4) | 12/05/2020(5) | Common Stock | 48,645 (2) | $ 0 | 0 | D | ||||
Employee Stock Option (right to buy) | $ 12.47 | 03/09/2018 | M | 156,976 (2) (6) | 10/30/2017(4) | 10/29/2023(5) | Common Stock | 156,976 (2) | $ 0 | 156,976 | D | ||||
Employee Stock Option (right to buy) | $ 12.49 | 03/09/2018 | M | 27,025 (2) (7) | 12/11/2016(4) | 12/10/2021(5) | Common Stock | 27,025 (2) | $ 0 | 0 | D | ||||
Employee Stock Option (right to buy) | $ 17.29 | 03/09/2018 | M | 32,430 (2) (8) | 12/10/2017(4) | 12/09/2022(5) | Common Stock | 32,430 (2) | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LORES ENRIQUE 1501 PAGE MILL RD PALO ALTO, CA 94304 |
President, PSS |
/s/ Katie Colendich as Attorney-in-Fact for Enrique Lores | 03/13/2018 | |
**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 December 27, 2017. |
(2) | The share amounts reported reflect the conversion of the awards upon the distribution of the Hewlett Packard Enterprise shares on November 1, 2015. |
(3) | On December 6, 2012, the reporting person was granted options to purchase a total of 281,867 shares.The stock options vest 1/3 annually on each of the anniversaries of the grant date. |
(4) | This option became exercisable beginning on this date. |
(5) | This option is no longer exercisable following this date. |
(6) | On October 30, 2015, the reporting person was granted performance contingent options to purchase a total of 470,928 shares.The stock options vest 1/3 annually on each of the anniversaries of the grant date, in each case subject to the satisfaction of certain stock price performance conditions being met within five years following the grant date. |
(7) | On December 11, 2013, the reporting person was granted options to purchase a total of 81,075 shares.The stock options vest 1/3 annually on each of the anniversaries of the grant date. |
(8) | On December 10, 2014, the reporting person was granted options to purchase a total of 64,859 shares.The stock options vest 1/3 annually on each of the anniversaries of the grant date. |