FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
|||||||||||||||
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
|
2. Issuer Name and Ticker or Trading Symbol
Hewlett Packard Enterprise Co [ HPE ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
||||||||||||||||||||||||
3. Date of Earliest Transaction
(Month/Day/Year) 12/09/2021 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
---|---|---|---|---|---|---|---|---|---|---|
1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 12/09/2021 | A | 15,232(1) | A | $15.38 | 46,852 | D | |||
Common Stock | 12/09/2021 | F | 5,218 | D | $15.38 | 41,634 | D | |||
Common Stock | 12/09/2021 | A | 14,986(2) | A | $15.38 | 56,620 | D | |||
Common Stock | 12/09/2021 | F | 6,307 | D | $15.38 | 50,313 | D | |||
Common Stock | 12/10/2021 | M | 8,200 | A | $15.21 | 58,513 | D | |||
Common Stock | 12/10/2021 | F | 3,846 | D | $15.21 | 54,667 | D | |||
Common Stock | 12/10/2021 | M | 909 | A | $15.21 | 55,576 | D | |||
Common Stock | 12/10/2021 | F | 448 | D | $15.21 | 55,128 | D | |||
Common Stock | 12/10/2021 | M | 11,061 | A | $15.21 | 66,189 | D | |||
Common Stock | 12/10/2021 | F | 5,188 | D | $15.21 | 61,001 | D | |||
Common Stock | 12/10/2021 | M | 897 | A | $15.21 | 61,898 | D | |||
Common Stock | 12/10/2021 | F | 442 | D | $15.21 | 61,456 | D | |||
Common Stock | 12/10/2021 | M | 16,501 | A | $15.21 | 77,957 | D | |||
Common Stock | 12/10/2021 | F | 8,127 | D | $15.21 | 69,830 | D | |||
Common Stock | 12/10/2021 | M | 562 | A | $15.21 | 70,392 | D | |||
Common Stock | 12/10/2021 | F | 277 | D | $15.21 | 70,115 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (3) | 12/10/2021 | M | 8,200(4) | (4) | (4) | Common Stock | 8,200 | (4) | 0 | D | ||||
Restricted Stock Units | (3) | 12/10/2021 | M | 11,061(5) | (5) | (5) | Common Stock | 11,061 | (5) | 11,957 | D | ||||
Restricted Stock Units | (3) | 12/10/2021 | M | 16,501(6) | (6) | (6) | Common stock | 16,501 | (6) | 34,125 | D | ||||
Restricted Stock Units | (3) | 12/09/2021 | A | 56,892(7) | (7) | (7) | Common stock | 56,892 | (7) | 56,892 | D |
Explanation of Responses: |
1. 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. |
2. 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. |
3. Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. |
4. 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. |
5. 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. |
6. 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. |
7. 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 | 12/13/2021 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |