0001062993-22-023860.txt : 20221213 0001062993-22-023860.hdr.sgml : 20221213 20221213214619 ACCESSION NUMBER: 0001062993-22-023860 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221209 FILED AS OF DATE: 20221213 DATE AS OF CHANGE: 20221213 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: 221461066 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: 1701 E MOSSY OAKS ROAD CITY: SPRING STATE: TX ZIP: 77389 BUSINESS PHONE: 678-259-9860 MAIL ADDRESS: STREET 1: 1701 E MOSSY OAKS ROAD CITY: SPRING STATE: TX ZIP: 77389 4 1 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0306 4 2022-12-09 0001645590 Hewlett Packard Enterprise Co HPE 0001733072 Rothman Irv C/O HEWLETT PACKARD ENTERPRISE COMPANY 1701 E MOSSY OAKS ROAD SPRING TX 77389 0 1 0 0 Pres & CEO Financial Services Common Stock 2022-12-09 4 M 0 19595 16.15 A 19595 D Common Stock 2022-12-09 4 F 0 10024 16.15 D 9571 D Common Stock 2022-12-10 4 M 0 12325 16.15 A 21896 D Common Stock 2022-12-10 4 F 0 6046 16.15 D 15850 D Common Stock 2022-12-10 4 M 0 16856 16.15 A 32706 D Common Stock 2022-12-10 4 F 0 8252 16.15 D 24454 D Common Stock 2022-12-09 4 A 0 13038 16.15 A 37492 D Common Stock 2022-12-09 4 F 0 6670 16.15 D 30822 D Common Stock 2022-12-09 4 A 0 41232 16.15 A 72054 D Common Stock 2022-12-09 4 F 0 21091 16.15 D 50963 D Restricted Stock Units 2022-12-10 4 M 0 12325 D Common stock 12325 0 D Restricted Stock Units 2022-12-10 4 M 0 16856 D Common Stock 16856 16855 D Restricted Stock Units 2022-12-09 4 M 0 19595 D Common Stock 19595 39186 D On 12/10/19 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 12/10/20 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 12/10/19 the reporting person was granted 34,722 restricted stock units ("RSUs"), 11,574 of which vested on 12/10/20, 11,061 of which vested on 12/10/21, and 11,062 of which vested 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 also includes 1,263 vested dividend equivalent rights and a de minimus adjustment of 0.8822 due to fractional rounding of the dividend equivalent rights. As previously reported, on 12/10/20 the reporting person was granted 49,505 RSUs, 16,501 of which vested on 12/10/21, 15,771 of which vested on 12/10/22 and 15,772 of which will vest on 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 also includes 1,085 vested dividend equivalent rights and a de minimus adjustment of 0.1734 due to fractional rounding of the dividend equivalent rights. As previously reported, on 12/09/21 the reporting person was granted 56,892 RSUs, 18,964 of which vested on 12/09/22, and 18,964 of which will vest on each of 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. The number of derivative securities in column 5 also includes 631 vested dividend equivalent rights and a de minimus adjustment of 0.9087 due to fractional rounding of the dividend equivalent rights. Ki Hoon Kim as Attorney-in-Fact for Irv Rothman 2022-12-13