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 |
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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)
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2. Issuer Name and Ticker or Trading Symbol
Hewlett Packard Enterprise Co [ HPE ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 10/23/2020 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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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 | 10/23/2020 | M | 13,047 | A | $9.48 | 15,704.333(1) | D | |||
Common Stock | 10/23/2020 | F | 4,512 | D | $9.48 | 11,192.333 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 | (2) | 07/01/2020 | A | 96.78(3) | (3) | (3) | Common Stock | 96.78 | (3) | 4,250.9385 | D | ||||
Restricted Stock Units | (2) | 07/01/2020 | A | 412.15(4) | (4) | (4) | Common Stock | 412.15 | (4) | 17,716.7228 | D | ||||
Restricted Stock Units | (2) | 10/23/2020 | M | 13,047(5) | (5) | (5) | Common Stock | 13,047 | (5) | 26,091 | D | ||||
Restricted Stock Units | (2) | 07/01/2020 | A | 868.79(6) | (6) | (6) | Common Stock | 868.79 | (6) | 36,283.3997 | D |
Explanation of Responses: |
1. The total beneficial ownership includes the acquisition of 12.7680 shares at $9.42 per share received on 07/01/20 through dividends paid in shares and 12.9110 shares at $9.77 per share received on 10/07/20 through dividends paid in shares. |
2. Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. |
3. As previously reported, on 12/07/17, the reporting person was granted 11,603 restricted stock units ("RSUs"), 3,867 of which vested on 12/07/18, 3,868 of which vested on 12/07/19, and 3,868 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 49.2739 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 47.5087 dividend equivalent rights at $9.77 per RSU credited to the reporting person's account on 10/07/20. |
4. As previously reported, on 12/10/18, the reporting person was granted 24,708 RSUs, 8,236 of which vested on 12/10/19, and 8,236 of which will vest on each of 12/10/20 and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 209.8344 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 202.3173 dividend equivalent rights at $9.77 per RSU credited to the reporting person's account on 10/07/20. |
5. As previously reported, on 10/23/19, the reporting person was granted 37,453 RSUs, 12,484 of which vested on 10/23/20, 12,484 of which will vest on 10/23/21, and 12,485 of which will vest on 10/23/22. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 477.1083 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 460.0164 dividend equivalent rights at $9.77 per RSU credited to the reporting person's account on 10/07/20. The number of derivative securities in column 5 includes 563 vested dividend equivalent rights and a de minimus adjustment of 0.7911 due to fractional rounding of the dividend equivalent rights. |
6. As previously reported, on 12/10/19, the reporting person was granted 34,722 RSUs, 11,574 of which will vest on each of 12/10/20, 12/10/21, and 12/10/22. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 442.3185 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 426.4729 dividend equivalent rights at $9.77 per RSU credited to the reporting person's account on 10/07/20. |
Remarks: |
Derek Windham as Attorney-in-Fact for Neil B MacDonald | 10/26/2020 | |
** 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. |