SEC Form 4
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)
| 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) 12/07/2020 | ||||||||||||||||||||||||||
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 | 12/07/2020 | M | 21,904 | A | $12.08 | 21,904 | D | |||
Common Stock | 12/07/2020 | F | 7,576 | D | $12.08 | 14,328 | D | |||
Common Stock | 12/09/2020 | S | 14,328(1) | D | $12.04 | 0 | 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) | 12/07/2020 | M | 21,904(3) | (3) | (3) | Common Stock | 21,904 | (3) | 0 | D | ||||
Restricted Stock Units | (2) | 01/02/2020 | A | 1,234.5679(4) | (4) | (4) | Common Stock | 1,234.5679 | (4) | 29,528.5679 | D | ||||
Restricted Stock Units | (2) | 01/02/2020 | A | 1,703.3655(5) | (5) | (5) | Common Stock | 1,703.3655 | (5) | 39,582.3655 | D |
Explanation of Responses: |
1. The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 03/13/20. |
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 59,775 Restricted Stock Units ("RSUs"), 19,925 of which vested on 12/07/18, 19,925 of which vested on 12/07/19 and 19,925 of which vested 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 147.8664 dividend equivalent rights at $16.17 per RSU credited to the reporting person's account on 01/02/20; 249.5825 dividend equivalent rights at $9.58 per RSU credited to the reporting person's account on 04/01/20; 253.8217 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 244.7288 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 also includes 1,979 vested dividend equivalent rights and a de minimus adjustment of 0.0006 due to fractional rounding of the dividend equivalent rights. |
4. As previously reported, on 12/10/18 the reporting person was granted 41,181 RSUs, 13,727 of which vested on 12/10/19, and 13,727 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 203.7403 dividend equivalent rights at $16.17 per RSU credited to the reporting person's account on 01/02/20; 343.8914 dividend equivalent rights at $9.58 per RSU credited to the reporting person's account on 04/01/20; 349.7325 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 337.2037 dividend equivalent rights at $9.77 per RSU credited to the reporting person's account on 10/07/20. |
5. As previously reported, on 12/10/19 the reporting person was granted 37,879 RSUs, 12,626 of which will vest on each of 12/10/20 and 12/10/21, and 12,627 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. Also included are 281.1058 dividend equivalent rights at $16.17 per RSU credited to the reporting person's account on 01/02/20; 474.4760 dividend equivalent rights at $9.58 per RSU credited to the reporting person's account on 04/01/20; 482.5350 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 465.2487 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 Jeff T. Ricci | 12/09/2020 | |
** 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. |