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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 | (3) | 07/03/2013 | A | 20.9234 (4) | (4) | (4) | Common Stock | 20.9234 | (4) | 1,773.6166 | D | ||||
Restricted Stock Units | (3) | 10/31/2013 | M | 17,336 (5) | (5) | (5) | Common Stock | 17,336 | (5) | 0 | D | ||||
Restricted Stock Units | (3) | 07/03/2013 | A | 48.5368 (6) | (6) | (6) | Common Stock | 48.5368 | (6) | 4,069.8184 | D | ||||
Restricted Stock Units | (3) | 07/03/2013 | A | 190.5949 (7) | (7) | (7) | Common Stock | 190.5949 | (7) | 15,600.5293 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LEVINE MARC A C/O HEWLETT-PACKARD COMPANY 3000 HANOVER STREET PALO ALTO, CA 94304 |
SVP, Controller & PAO |
/s/ David Ritenour as Attorney-in-Fact for Marc A. Levine | 11/04/2013 | |
**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) | The total beneficial ownership also includes the acquisition of 2.5130 shares at $25.2343 per share received on 07/05/13 through dividends paid in shares, and 2.975 shares at $21.4373 per share received on 10/02/13 through dividends paid in shares. |
(2) | These shares were held indirectly under HP's 401(k) Plan as of 10/31/13. Fidelity Investments Institutional Services Company, Inc. accounts for holdings in the stock fund in units, which are comprised of stock and cash reserves. The shares reported represent an approximate value based upon the fund balance and market value of HP's common stock. |
(3) | Each restricted stock unit represents a contingent right to receive one share of HP common stock. |
(4) | On 12/10/10 the reporting person was granted 5,000 restricted stock units ("RSUs"), 1,666 of which vested on 12/10/11, 1,667 of which vested on 12/10/12, and 1,667 of which will vest on 12/10/13. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on HP common stock. The 20.9234 dividend equivalent rights being reported reflect 9.6127 dividend equivalent rights at $25.18 per RSU credited to the reporting person's account on 07/03/13; and 11.3107 dividend equivalent rights at $21.40 per RSU credited to the reporting person's account on 10/02/13. |
(5) | As previously reported, on 09/26/11 the reporting person was granted 33,026 restricted stock units ("RSUs"), 3,303 of which vested on 10/31/11, 13,210 of which vested on 10/31/12, and 16,513 of which vested on 10/31/13. 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 in column 5 includes 95.2219 dividend equivalent rights at $25.18 per RSU credited to the reporting person's account on 07/03/13; and 112.0415 dividend equivalent rights at $21.40 per RSU credited to the reporting person's account on 10/02/13, and a deminimus adjustment of 0.1307 due to fractional rounding of the diviend equivalent rights. |
(6) | As previously reported, on 12/07/11 the reporting person was granted 5,800 restricted stock units ("RSUs"), 1,933 of which vested on 12/07/12, and 1,933 of which will vest on 12/07/13, and 1,934 of which will vest on 12/07/14. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on HP common stock. The 48.5368 dividend equivalent rights being reported reflect 22.2990 dividend equivalent rights at $25.18 per RSU credited to the reporting person's account on 07/03/13; and 26.2378 dividend equivalent rights at $21.40 per RSU credited to the reporting person's account on 10/02/13. |
(7) | As previously reported, on 12/06/12 the reporting person was granted 15,185 restricted stock units ("RSUs"), 5,061 of which will vest on 12/06/13, and 5,062 of which will vest on each of 12/06/14 and 12/06/15. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on HP common stock. The 190.5949 dividend equivalent rights being reported reflect 87.5640 dividend equivalent rights at $25.18 per RSU credited to the reporting person's account on 07/03/13; and 103.0309 dividend equivalent rights at $21.40 per RSU credited to the reporting person's account on 10/02/13. |