SEC Form 4 · accession 0001562180-16-003756

HP INC · HPQ

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Tracy S Keogh

Officer — Chief HR Officer

Period of report

Nov 29, 2016

Accepted (ET)

Dec 13, 2016 · 7:26 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000047217

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Common Stock	Nov 29, 2016	M	25,811	$15.15	A	172,251	D
Common Stock	Nov 29, 2016	F	13,469	$15.15	D	158,782	D
Common Stock	Dec 9, 2016	M	33,170	$15.78	A	191,952	D
Common Stock	Dec 9, 2016	F	17,309	$15.78	D	174,643	D
Common Stock	Dec 10, 2016	M	49,075	$15.78	A	223,718	D
Common Stock	Dec 10, 2016	F	25,609	$15.78	D	198,109	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Performance Adjusted Restricted Stock Units^F2,F1	—	Nov 29, 2016	M	25,811	D	—	—	Common Stock	25,811	23,229	D
Restricted Stock Unit^F1,F3	—	Dec 9, 2016	M	33,170	D	—	—	Common Stock	33,170	63,860	D
Restricted Stock Units^F1,F4	—	Dec 10, 2016	M	18,403	D	—	—	Common Stock	18,403	17,361	D
Restricted Stock Units^F1,F5	—	Dec 10, 2016	M	30,672	D	—	—	Common Stock	30,672	57,869	D

Explanation of responses

F1Each restricted stock unit ("RSU") represents a contingent right to receive one share of HP common stock.
F2As previously reported, on 12/11/2014 the reporting person was granted 46,456 performance adjusted restricted stock units ("PARSUs"), of which 24,831 vested on 11/29/2016 based on the achievement of certain return on invested capital performance conditions and total stockholder return conditions. Dividend equivalent units accrued with respect to these PARSUs when and as dividends were paid on HP common stock. The number of derivative securities in column 5 includes 980 vested dividend equivalent units.
F3On 12/9/2015 the reporting person was granted 95,789 RSUs, 31,929 of which vested on 12/9/2016, and 31,930 of which will vest on each of 12/9/2017 and 12/9/2018. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on HP common stock. The number of derivative securities in column 5 includes 1,241 vested dividend equivalent rights.
F4On 12/10/2014 the reporting person was granted 52,080 RSUs, 17,359 of which vested on 9/17/2015, 17,360 of which vested on 12/10/2016 and 17,361 of which will vest on 12/10/2017. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on HP common stock. The number of derivative securities in column 5 includes 1,043 vested dividend equivalent rights. The amounts reflected in this footnote reflect the conversion of the awards upon the distribution of the Hewlett Packard Enterprise shares on November 1, 2015.
F5On 12/10/2014 the reporting person was granted 115,735 RSUs, 28,932 of which vested on 9/17/2015, 28,934 of which vested on 12/10/2016, 28,933 of which will vest on 12/10/2017 and 28,936 of which will vest on 12/10/2018. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on HP common stock. The number of derivative securities in column 5 includes 1,738 vested dividend equivalent rights The amounts reflected in this footnote reflect the conversion of the awards upon the distribution of the Hewlett Packard Enterprise shares on November 1, 2015.