| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | HPE | Common Stock | Options Exercise | $3,840,026 | +434,884 | +32% | $8.83 | 1,805,175 | 07 Sep 2023 | Direct | F1 |
| transaction | HPE | Common Stock | Sale | $7,601,946 | -434,884 | -24% | $17.48 | 1,370,291 | 07 Sep 2023 | Direct | F2 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | HPE | Employee Stock Option (right to buy) | Options Exercise | $0 | -434,884 | -100% | $0.000000* | 0 | 07 Sep 2023 | Common Stock | 434,884 | $8.83 | Direct | F3, F4 |
| transaction | HPE | Restricted Stock Units | Award | +3,632 | +2.1% | 180,658 | 13 Jan 2023 | Common Stock | 3,632 | Direct | F5, F6 | |||
| transaction | HPE | Restricted Stock Units | Award | +5,954 | +2.1% | 286,546 | 13 Jan 2023 | Common Stock | 5,954 | Direct | F5, F7 | |||
| transaction | HPE | Restricted Stock Units | Award | +10,106 | +2.2% | 470,511 | 13 Jan 2023 | Common Stock | 10,106 | Direct | F5, F8 |
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
| Id | Content |
|---|---|
| F1 | As of 03/14/23, the reporting person no longer has a reportable beneficial interest in 15,000 shares, originally included in the reporting person's prior ownership reports. The reporting person disclaims beneficial ownership to, and no longer reports as beneficially owned, any such securities. |
| F2 | The price in Column 4 is a weighted average price. The prices actually paid ranged from $17.37 to $17.565. 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. |
| F3 | This option became exercisable beginning on this date. |
| F4 | This option is no longer exercisable beginning on this date. |
| F5 | Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. |
| F6 | As previously reported, on 12/10/20 the reporting person was granted 515,677 restricted stock units ("RSUs"), 171,892 of which vested on 12/10/21, 171,892 of which vested on 12/10/22, and 165,481 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 reflects 1,207.1562 dividend equivalent rights at $16.45 per RSU credited to the reporting person's account on 01/13/23, 1,248.1282 dividend equivalent rights at $15.91 per RSU credited to the reporting person's account on 04/14/23, and 1,177.1025 dividend equivalent rights at $16.87 per RSU credited to the reporting person's account on 07/14/23. |
| F7 | As previously reported, on 12/09/21 the reporting person was granted 422,627 RSUs, 140,875 of which vested on 12/09/22, and 135,621 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 reflects 1,978.6650 dividend equivalent rights at $16.45 per RSU credited to the reporting person's account on 01/13/23, 2,045.8228 dividend equivalent rights at $15.91 per RSU credited to the reporting person's account on 04/14/23, and 1,929.4037 dividend equivalent rights at $16.87 per RSU credited to the reporting person's account on 07/14/23. |
| F8 | As previously reported, on 12/08/22, the reporting person was granted 460,405 RSUs, 153,468 of which will vest on each of 12/08/23 and 12/08/24, and 153,469 of which will vest on 12/08/25. 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 reflects 3,358.5775 dividend equivalent rights at $16.45 per RSU credited to the reporting person's account on 01/13/23, 3,472.5707 dividend equivalent rights at $15.91 per RSU credited to the reporting person's account on 04/14/23, and 3,274.9615 dividend equivalent rights at $16.87 per RSU credited to the reporting person's account on 07/14/23. |
The reported transaction occurred pursuant to a trading plan adopted on 06/07/23.