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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 | ||||||||
Restricted Stock Units | (2) | 09/17/2015 | M | 100,701 (4) | (3)(4) | (4) | Common Stock | 100,701 | (4) | 0 | D | ||||
Restricted Stock Units | (2) | 04/01/2015 | A | 13.1215 (5) | (5) | (5) | Common Stock | 13.1215 | (5) | 1,261.1215 | D | ||||
Restricted Stock Units | (2) | 09/17/2015 | M | 49,797 (6) | (3)(6) | (6) | Common Stock | 49,797 | (6) | 49,795 | D | ||||
Restricted Stock Units | (2) | 09/17/2015 | M | 35,316 (7) | (3)(7) | (7) | Common Stock | 35,316 | (7) | 70,631 | D | ||||
Performance Adjusted Restricted Stock Units | (2) | 09/17/2015 | M | 62,104 (8) | (3)(8) | (8) | Common Stock | 62,104 | (8) | 68,310 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WHITMAN MARGARET C C/O HEWLETT-PACKARD COMPANY 3000 HANOVER STREET PALO ALTO, CA 94304 |
X | President & CEO |
/s/ Katie Colendich as Attorney-in-Fact for Margaret C. Whitman | 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) | There is no reportable change since the last filing. This is a reiteration of holdings only. |
(2) | Each restricted stock unit represents a contingent right to receive one share of HP common stock. |
(3) | 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. |
(4) | As previously reported, on 01/02/13 the reporting person was granted 287,057 restricted stock units ("RSUs"), 95,685 of which vested on 12/06/13, 95,686 of which vested on 12/06/14, and 95,686 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 489.2860 dividend equivalent rights at $31.29 per RSU credited to the reporting person's account on 04/01/15 and 551.7934 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 5,015 vested dividend equivalent rights and a de minimus adjustment of 0.5755 due to fractional rounding of the dividend equivalent rights. |
(5) | As previously reported, on 03/20/13 the reporting person was granted 3,616 RSUs, 1,205 of which vested on 03/20/14, 1,205 of which vested on 03/20/15, and 1,206 of which will vest on 03/20/16. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on HP common stock. The 13.1215 dividend equivalent rights being reported reflect 6.1668 dividend equivalent rights at $31.29 per RSU credited to the reporting person's account on 04/01/15 and 6.9547 dividend equivalent rights at $30.52 per RSU credited to the reporting person's account on 07/01/15. |
(6) | As previously reported, on 12/11/13 the reporting person was granted 144,498 RSUs, 48,166 of which vested on 12/11/14, 48,166 of which vested early on 09/17/15, and 48,166 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 492.5893 dividend equivalent rights at $31.29 per RSU credited to the reporting person's account on 04/01/15 and 555.5187 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 1,631 vested dividend equivalent rights and a de minimus adjustment of 0.9454 due to fractional rounding of the dividend equivalent rights. |
(7) | As previously reported, on 12/10/14 the reporting person was granted 104,390 RSUs, 34,796 of which vested early on 09/17/15, and 34,797 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 533.7935 dividend equivalent rights at $31.29 per RSU credited to the reporting person's account on 04/01/15 and 601.9869 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 520 vested dividend equivalent rights and a de minimus adjustment of 0.8219 due to fractional rounding of the dividend equivalent rights. |
(8) | As previously reported, on 12/11/13 the reporting person was granted 130,414 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 2,238.3131 vested dividend equivalent rights accrued but not released since the grant date, and a de minimus adjustment of 0.3556 due to fractional rounding of the dividend equivalent rights. |