SEC Form 4 · accession 0001562180-18-004924
HP INC · HPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Catherine A Lesjak
Officer — Interim COO
Period of report
Dec 7, 2018
Accepted (ET)
Dec 11, 2018 · 7:42 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 | Dec 7, 2018 | M | 78,718 | $0.00 | A | 270,143 | D | |
| Common StockF1 | Dec 7, 2018 | F | 37,252 | $22.93 | D | 232,891 | D | |
| Common Stock | Dec 9, 2018 | M | 60,208 | $0.00 | A | 293,099 | D | |
| Common StockF2 | Dec 9, 2018 | F | 28,558 | $22.93 | D | 264,541 | D | |
| Common StockF3 | holding | — | — | — | 306 | I | Held by Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF5,F4 | — | Dec 7, 2018 | M | 43,543 | D | — | — | Common Stock | 43,543 | 41,280 | D |
| Restricted Stock UnitsF6,F7,F4 | — | Dec 7, 2018 | M | 35,175 | D | — | — | Common Stock | 35,175 | 68,670 | D |
| Restricted Stock UnitsF7,F4 | — | Dec 9, 2018 | M | 60,208 | D | — | — | Common Stock | 60,208 | 0 | D |
Explanation of responses
- F137,252 shares were withheld by HP to satisfy tax withholding on vesting of restricted stock units ("RSUs").
- F228,558 shares were withheld by HP to satisfy tax withholding on vesting of RSUs.
- F3There is no reportable change since the last filing. This is a reiteration of holdings only.
- F4Each RSU represents a contingent right to receive one share of HP common stock.
- F5On 12/7/2016, the reporting person was granted 123,839 RSUs, 41,279 of which vested on each of 12/7/2017, of which 41,280 vested on 12/7/2018, and 41,280 of which is scheduled to vest on 12/7/2019. 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 2,263 vested dividend equivalent rights.
- F6On 12/7/2017, the reporting person was granted 103,004 RSUs, 34,334 of which vested on 12/7/2018, and of which 34,335 are scheduled to vest on each of 12/7/2019 and 12/7/2020. 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 841 vested dividend equivalent rights.
- F7On 12/9/2015, the reporting person was granted 165,153 RSUs, 55,051 of which vested on each of 12/9/2016, 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 5,157 vested dividend equivalent rights.