0001062993-21-012820.txt : 20211213 0001062993-21-012820.hdr.sgml : 20211213 20211213174604 ACCESSION NUMBER: 0001062993-21-012820 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211209 FILED AS OF DATE: 20211213 DATE AS OF CHANGE: 20211213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rothman Irv CENTRAL INDEX KEY: 0001733072 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37483 FILM NUMBER: 211489100 MAIL ADDRESS: STREET 1: 3000 HANOVER STREET CITY: PALO ALTO STATE: CA ZIP: 94304 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Hewlett Packard Enterprise Co CENTRAL INDEX KEY: 0001645590 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-COMPUTER & PERIPHERAL EQUIPMENT & SOFTWARE [5045] IRS NUMBER: 473298624 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 BUSINESS ADDRESS: STREET 1: 11445 COMPAQ CENTER DRIVE WEST CITY: HOUSTON STATE: TX ZIP: 77070 BUSINESS PHONE: 6506875817 MAIL ADDRESS: STREET 1: 11445 COMPAQ CENTER DRIVE WEST CITY: HOUSTON STATE: TX ZIP: 77070 4 1 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0306 4 2021-12-09 0001645590 Hewlett Packard Enterprise Co HPE 0001733072 Rothman Irv C/O HEWLETT PACKARD ENTERPRISE COMPANY 11445 COMPAQ CENTER DRIVE WEST HOUSTON TX 77070 0 1 0 0 Pres & CEO Financial Services Common Stock 2021-12-09 4 A 0 15232 15.38 A 46852 D Common Stock 2021-12-09 4 F 0 5218 15.38 D 41634 D Common Stock 2021-12-09 4 A 0 14986 15.38 A 56620 D Common Stock 2021-12-09 4 F 0 6307 15.38 D 50313 D Common Stock 2021-12-10 4 M 0 8200 15.21 A 58513 D Common Stock 2021-12-10 4 F 0 3846 15.21 D 54667 D Common Stock 2021-12-10 4 M 0 909 15.21 A 55576 D Common Stock 2021-12-10 4 F 0 448 15.21 D 55128 D Common Stock 2021-12-10 4 M 0 11061 15.21 A 66189 D Common Stock 2021-12-10 4 F 0 5188 15.21 D 61001 D Common Stock 2021-12-10 4 M 0 897 15.21 A 61898 D Common Stock 2021-12-10 4 F 0 442 15.21 D 61456 D Common Stock 2021-12-10 4 M 0 16501 15.21 A 77957 D Common Stock 2021-12-10 4 F 0 8127 15.21 D 69830 D Common Stock 2021-12-10 4 M 0 562 15.21 A 70392 D Common Stock 2021-12-10 4 F 0 277 15.21 D 70115 D Restricted Stock Units 2021-12-10 4 M 0 8200 D Common Stock 8200 0 D Restricted Stock Units 2021-12-10 4 M 0 11061 D Common Stock 11061 11957 D Restricted Stock Units 2021-12-10 4 M 0 16501 D Common stock 16501 34125 D Restricted Stock Units 2021-12-09 4 A 0 56892 A Common stock 56892 56892 D As previously reported, on 12/10/18 the reporting person was granted performance adjusted restricted stock units ("PARSUs") subject to Non-GAAP Net Income and relative total stockholder return conditions being met at the time of vesting. These PARSUs vest 50% after 2 and 3 years subject to performance and are issued in Issuer's common stock. On 12/10/19 the reporting person was granted PARSUs subject to Non-GAAP Net Income and relative total stockholder return conditions being met at the time of vesting. These PARSUs vest 50% after 2 and 3 years subject to performance and are issued in Issuer's common stock. Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. As previously reported, on 12/10/18 the reporting person was granted 25,738 Restricted Stock Units ("RSUs"), 8,579 of which vested 12/10/19, 8,199 of which vested on 12/10/20, and 8,200 of which vested on 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 66.8933 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21. The number of derivative securities in column 5 also includes 909 vested RSU dividend equivalent rights and a de minimus adjustment of 0.3483 due to fractional rounding of the dividend. As previously reported, on 12/10/19 the reporting person was granted 34,722 RSUs, 11,574 of which vested on 12/10/20, and 11,061 of which vested on 12/10/21 and 11,062 of which will vest on 12/10/22. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 180.4731 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21. The number of derivative securities in column 5 also includes 897 vested RSU dividend equivalent rights and a de minimus adjustment of 0.2183 due to fractional rounding of the dividend. As previously reported, on 12/10/20 the reporting person was granted 49,505 RSUs, 16,501 of which vested on 12/10/21, and 16,502 of which will vest on each of 12/10/22 and 12/10/23. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 403.8477 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21. The number of derivative securities in column 5 also includes 562 vested RSU dividend equivalent rights and a de minimus adjustment of 0.7255 due to fractional rounding of the dividend. On 12/09/21 the reporting person was granted 56,892 RSUs, 18,964 of which will vest on each of 12/09/22, 12/09/23 and 12/09/24. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Derek Windham as Attorney-in-Fact for Irv Rothman 2021-12-13