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) 06/20/2017 | ||||||||||||||||||||||||||
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 | 06/20/2017 | M | 97,422 | A | $5.85 | 865,021 | D | |||
Common Stock | 06/20/2017 | S | 97,422(1) | D | $16.7101(2) | 767,599 | D | |||
Common Stock | 06/21/2017 | M | 34,770 | A | $5.85 | 802,369 | D | |||
Common Stock | 06/21/2017 | S | 34,770(1) | D | $16.7101(2) | 767,599 | D | |||
Common Stock | 66(3) | I | By Living Trust |
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 | ||||||||
Employee Stock Option (right to buy) | $5.85 | 06/20/2017 | M | 97,422 | 12/06/2014(5) | 12/06/2020(6) | Common Stock | 97,422 | $0 | 1,841,617 | D | ||||
Employee Stock Option (right to buy) | $5.85 | 06/21/2017 | M | 34,770 | 12/06/2014(5) | 12/06/2020(6) | Common Stock | 34,770 | $0 | 1,806,847 | D | ||||
Restricted Stock Units(4) | (7) | 01/04/2017 | A | 472.6989(8) | (8) | (8) | Common Stock | 472.6989 | (8) | 85,681.4663 | D | ||||
Restricted Stock Units(4) | (7) | 01/04/2017 | A | 2,606.3(9) | (9) | (9) | Common Stock | 2,606.3 | (9) | 462,794.618 | D | ||||
Restricted Stock Units(4) | (7) | 01/04/2017 | A | 1,102.0163(10) | (10) | (10) | Common Stock | 1,102.0163 | (10) | 195,682.384 | D | ||||
Restricted Stock Units(4) | (7) | 01/04/2017 | A | 1,989.2505(11) | (11) | (11) | Common Stock | 1,989.2505 | (11) | 348,991.425 | 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 03/13/17. |
2. The price in Column 4 is a weighted average price. The prices actually paid ranged from $16.71 to $16.715. 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. |
3. There is no reportable change since the last filing. This is a reiteration of holdings only. |
4. As reported in the Registration Statement on Form 10 filed by Issuer with the SEC, in connection with the spin-off of Everett SpinCo, Inc. on 04/01/17, equity-based awards granted by Issuer, prior to the spin-off 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-off, 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-off, unless otherwise noted. The reporting person's equity-based awards reflect that conversion adjustment. |
5. This option became exercisable beginning on this date. |
6. This option is no longer exercisable beginning on this date. |
7. Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. |
8. As previously reported, on 12/10/14 the reporting person was granted 104,390 restricted stock units ("RSUs"), 34,796 of which vested early on 09/17/15, 62,583 of which vested on 12/10/16, and 82,402 of which will vest on 12/10/17. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The 472.6989 dividend equivalent rights being reported reflect 173.4738 dividend equivalent rights at $23.45 per RSU credited to the reporting person's account on 01/04/17, and 299.2251 dividend equivalent rights at $17.90 per RSU credited to the reporting person's account on 04/05/17. Unvested RSUs in this footnote, and the amount in column 9 reflect the conversion adjustment noted in footnote (4) above. |
9. As previously reported, on 11/02/15 the reporting person was granted 517,598 RSUs, 172,532 of which vested on 11/02/16, 227,168 of which will vest on 11/02/17, and 227,169 of which will vest on 11/02/18. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The 2,606.3000 dividend equivalent rights being reported reflect 956.4729 dividend equivalent rights at $23.45 per RSU credited to the reporting person's account on 01/04/17, and 1,649.8271 dividend equivalent rights at $17.90 per RSU credited to the reporting person's account on 04/05/17. Unvested RSUs in this footnote, and the amount in column 9 reflect the conversion adjustment noted in footnote (4) above. |
10. As previously reported, on 12/09/15 the reporting person was granted 218,855 RSUs, 72,951 of which vested on 12/09/16, and 96,053 of which will vest on each of 12/09/17 and 12/09/18. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The 1,102.0163 dividend equivalent rights being reported reflect 404.4247 dividend equivalent rights at $23.45 per RSU credited to the reporting person's account on 01/04/17, and 697.5916 dividend equivalent rights at $17.90 per RSU credited to the reporting person's account on 04/05/17. Unvested RSUs in this footnote, and the amount in column 9 reflect the conversion adjustment noted in footnote (4) above. |
11. As previously reported, on 12/07/16 the reporting person was granted 263,371 RSUs, 115,590 of which will vest on each of 12/07/17, 12/07/18, and 12/17/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The 1,989.2505 dividend equivalent rights being reported reflect 730.0262 dividend equivalent rights at $23.45 per RSU credited to the reporting person's account on 01/04/17, and 1,259.2243 dividend equivalent rights at $17.90 per RSU credited to the reporting person's account on 04/05/17. Unvested RSUs in this footnote, and the amount in column 9 reflect the conversion adjustment noted in footnote (4) above. |
Remarks: |
Derek Windham as Attorney-in-Fact for Margaret C. Whitman | 06/22/2017 | |
** 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. |