0001179706-21-000011.txt : 20210309 0001179706-21-000011.hdr.sgml : 20210309 20210309181632 ACCESSION NUMBER: 0001179706-21-000011 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210305 FILED AS OF DATE: 20210309 DATE AS OF CHANGE: 20210309 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MAY ALAN RICHARD CENTRAL INDEX KEY: 0001656207 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37483 FILM NUMBER: 21727277 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 edgar.xml PRIMARY DOCUMENT X0306 4 2021-03-05 0001645590 Hewlett Packard Enterprise Co HPE 0001656207 MAY ALAN RICHARD C/O HEWLETT PACKARD ENTERPRISE COMPANY 11445 COMPAQ CENTER DRIVE WEST HOUSTON TX 77070 0 1 0 0 EVP, Chief People Officer Common Stock 2021-03-05 4 M 0 227049 8.62 A 476565 D Common Stock 2021-03-05 4 S 0 227049 14.3111 D 249516 D Common Stock 2021-03-05 4 M 0 115968 8.83 A 365484 D Common Stock 2021-03-05 4 S 0 115968 14.3111 D 249516 D Common Stock 100827 I By Joint Trust Restricted Stock Units 2021-01-06 4 A 0 285.0299 A Common Stock 285.0299 31044.0299 D Restricted Stock Units 2021-01-06 4 A 0 629.2226 A Common Stock 629.2226 66599.2226 D Restricted Stock Units 2021-01-06 4 A 0 1346.5814 A Common Stock 1346.5814 136453.581 D Employee Stock Option (right to buy) 8.62 2021-03-05 4 M 0 227049 0 D 2016-11-02 2023-11-02 Common Stock 227049 227048 D Employee Stock Option (right to buy) 8.83 2021-03-05 4 M 0 115968 0 D 2016-12-09 2023-12-09 Common Stock 115968 115968 D Column 5 includes an administrative adjustment of 82 shares that were over reported in the withholding of taxes related to the reporting person's 12/07/20 reportable transaction. The reported transactions reflect the reporting person's exercise and sale of his employee stock options pursuant to a court ordered marital settlement agreement ("Order). The reporting person disclaims beneficial ownership to, and no longer reports as beneficially owned, any securities sold on behalf of, or owned by, his ex-spouse pursuant to the Order. The price in Column 4 is a weighted average price. The prices actually paid ranged from $14.1900 to $14.3750. Upon request, the reporting person will provide to the Issuer, any security holder of the Issuer, or the SEC staff information regarding the number of shares purchased at each price within the range. 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 85,793 Restricted Stock Units ("RSUs"), 28,597 of which vested on 12/10/19, 28,598 of which vested on 12/10/20 and 28,598 of which will vest 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 285.0299 dividend equivalent rights at $12.0400 per RSU credited to the reporting person's account on 01/06/21. As previously reported, on 12/10/19 the reporting person was granted 94,697 RSUs, 31,565 of which vested on 12/10/20, and 31,566 of which will vest on each of 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. The number of derivative securities in column 5 includes 629.2260 dividend equivalent rights at $12.0400 per RSU credited to the reporting person's account on 01/06/21. As previously reported, on 12/10/20 the reporting person was granted 135,107 RSUs, 45,035 of which will vest on 12/10/21, and 45,036 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 1,346.58140 dividend equivalent rights at $12.0400 per RSU credited to the reporting person's account on 01/06/21. As reported in the Registration Statements on Form 10 filed by Issuer with the SEC, in connection with the spin-offs of Everett SpinCo, Inc. on 04/01/17 and Seattle SpinCo, Inc. on 09/01/17, equity-based awards granted by Issuer, prior to the spin-offs were converted to adjust the award in a manner intended to preserve the aggregate intrinsic value of the original award as measured immediately before and immediately after the spin-offs, subject to rounding. The adjusted equity award is otherwise subject to the same terms and conditions that applied to the original award immediately prior to the spin-offs, unless otherwise noted. The reporting person's equity based awards reflect the conversion adjustments. As previously reported, the performance contingent stock options vested 33.3% on each of the first two anniversaries of the grant date, and 33.4% on the third anniversary, in each case subject to the satisfaction of certain stock price performance conditions being met within five years following the grant date. This option became exercisable beginning on this date. This option is no longer exercisable beginning on this date. Derek Windham as Attorney-in-Fact for Alan R. May 2021-03-09