SEC Form 4 · accession 0001562180-16-003758

HP INC · HPQ

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

Reporting owner

Catherine A Lesjak

Officer — CFO

Period of report

Nov 29, 2016

Accepted (ET)

Dec 13, 2016 · 7:27 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	Nature of ownership
Common Stock	Nov 29, 2016	M	47,321	$15.15	A	188,053	D
Common Stock	Nov 29, 2016	F	24,693	$15.15	D	163,360	D
Common Stock	Dec 9, 2016	M	137,257	$15.78	A	300,617	D
Common Stock	Dec 9, 2016	F	71,622	$15.78	D	228,995	D
Common Stock	Dec 10, 2016	M	33,740	$15.78	A	262,735	D
Common Stock	Dec 10, 2016	F	17,606	$15.78	D	245,129	D
Common Stock^F1	holding	—	—		—	29,549	I	By Joint Account with Spouse
Common Stock^F1	holding	—	—		—	306	I	By Spouse

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^F3,F2	—	Nov 29, 2016	M	47,321	D	—	—	Common Stock	47,321	44,265	D
Restricted Stock Unit^F2,F4	—	Dec 9, 2016	M	57,191	D	—	—	Common Stock	57,191	110,102	D
Restricted Stock Units^F2,F5	—	Dec 10, 2016	M	33,740	D	—	—	Common Stock	33,740	31,828	D

Explanation of responses

F1There is no reportable change since the last filing. This is a reiteration of holdings only.
F2Each restricted stock unit ("RSU") represents a contingent right to receive one share of HP common stock.
F3As previously reported, on 12/11/2014 the reporting person was granted 85,172 performance adjusted restricted stock units ("PARSUs"), of which 45,525 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 1,796 vested dividend equivalent units accrued.
F4On 12/9/2015 the reporting person was granted 165,153 RSUs, 55,051 of which vested on 12/9/2016, and 55,051 of which will vest on both 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 2,140 vested dividend equivalent rights.
F5On 12/10/2014 the reporting person was granted 95,484 RSUs, 31,828 of which vested each on 12/10/2015 and 12/10/2016 and 31,828 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 1,912 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.