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)
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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) 04/20/2024 | ||||||||||||||||||||||||||
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 | 04/20/2024 | M | 25,748 | A | $16.79 | 40,122 | D | |||
Common Stock | 04/20/2024 | F | 6,258 | D | $16.79 | 33,864 | 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 | (1) | 01/11/2024 | A | 233.7102(2) | (2) | (2) | Common Stock | 233.7102 | (2) | 16,351.7102 | D | ||||
Restricted Stock Units | (1) | 04/20/2024 | M | 25,748(3) | (3) | (3) | Common Stock | 25,748 | (3) | 25,747 | D | ||||
Restricted Stock Units | (1) | 01/11/2024 | A | 630.4104(4) | (4) | (4) | Common Stock | 630.4104 | (4) | 42,751.4104 | D | ||||
Restricted Stock Units | (1) | 01/11/2024 | A | 3,344.5565(5) | (5) | (5) | Common Stock | 3,344.5565 | (5) | 220,466.5565 | D |
Explanation of Responses: |
1. Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. |
2. As previously reported, on 12/09/21, the reporting person was granted 45,514 restricted stock units ("RSUs"), 15,171 of which vested on 12/09/22, 15,171 of which vested on 12/09/23, and 15,172 of which will vest on 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 includes 120.4863 dividend equivalent rights at $16.37 per RSU credited to the reporting person's account on 01/11/24, and 113.2239 dividend equivalent rights at $17.42 per RSU credited to the reporting person's account on 04/12/24 |
3. As previously reported, on 04/20/22, the reporting person was granted 72,639 RSUs, 24,213 of which vested on 04/20/23, 24,213 of which vested on 04/20/24 and 24,213 of which will vest on 04/20/25. 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 384.5681 dividend equivalent rights at $16.37 per RSU credited to the reporting person's account on 01/11/24, and 361.3881 dividend equivalent rights at $17.42 per RSU credited to the reporting person's account on 04/12/24. The number of derivative securities in column 5 reflects 1,535 vested dividend equivalent rights and a de minimus adjustment of 0.9626 due to fractional rounding of the dividend equivalent rights. |
4. As previously reported, on 12/08/22, the reporting person was granted 61,387 RSUs, 20,462 of which vested on 12/08/23, 20,462 of which will vest on 12/08/24, and 20,463 of which will vest on 12/08/25. 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 325 dividend equivalent rights at $16.37 per RSU credited to the reporting person's account on 01/11/24, and 305.4104 dividend equivalent rights at $17.42 per RSU credited to the reporting person's account on 04/12/24. |
5. As previously reported, on 12/07/23, the reporting person was granted 217,122 RSUs, 72,374 of which will vest on each of 12/07/24, 12/07/25, and 12/07/26. 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 1,724.2431 dividend equivalent rights at $16.37 per RSU credited to the reporting person's account on 01/11/24, and 1,620.3134 dividend equivalent rights at $17.42 per RSU credited to the reporting person's account on 04/12/24. |
Ki Hoon Kim as Attorney-in-Fact for Jeremy K. Cox | 04/23/2024 | |
** 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. |