Statement of Changes in Beneficial Ownership (4)
23 Septiembre 2019 - 4:50PM
Edgar (US Regulatory)
FORM 4
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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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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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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1. Name and Address of Reporting Person
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Davis Philip |
2. Issuer Name and Ticker or Trading Symbol
Hewlett Packard Enterprise Co
[
HPE
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) CSO, Pres Hybrid IT
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(Last)
(First)
(Middle)
C/O HEWLETT PACKARD ENTERPRISE COMPANY, 6280 AMERICA CENTER DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/20/2019
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(Street)
SAN JOSE, CA 95002
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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9/20/2019
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M
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25596
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A
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$14.43
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25596
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D
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Common Stock
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9/20/2019
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F
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9160
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D
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$14.43
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16436
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D
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code (Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)
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8. Price of Derivative Security (Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Restricted Stock Units
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(1)
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7/3/2019
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A
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79.0296 (2)
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(2)
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(2)
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Common Stock
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79.0296
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(2)
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11398.0413
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D
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Restricted Stock Units
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(1)
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7/3/2019
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A
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180.3164 (3)
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(3)
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(3)
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Common Stock
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180.3164
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(3)
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25939.262
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D
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Restricted Stock Units
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(1)
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9/20/2019
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M
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25596 (4)
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(4)
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(4)
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Common Stock
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25596
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(4)
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25595
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D
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Restricted Stock Units
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(1)
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7/3/2019
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A
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1034.8455 (5)
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(5)
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(5)
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Common Stock
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1034.8455
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(5)
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147199.67
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D
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Restricted Stock Units
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(1)
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7/3/2019
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A
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883.7394 (6)
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(6)
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(6)
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Common Stock
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883.7394
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(6)
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122850.146
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D
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Explanation of Responses:
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(1)
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Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
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(2)
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As previously reported, on 12/07/16 the reporting person was granted 32,217 Restricted Stock Units ("RSUs"), 10,738 of which vested on 12/07/17, 10,738 of which vested on 12/07/18, and 10,741 of which will vest on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 79.0296 dividend equivalent rights at $15.29 per RSU credited to the reporting person's account on 07/03/19. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.
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(3)
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As previously reported, on 01/24/17 the reporting person was granted 73,519 RSUs, 24,505 of which vested on 01/24/18, 24,507 of which vested on 01/24/19, and 24,507 of which will vest on 01/24/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 180.3164 dividend equivalent rights at $15.29 per RSU credited to the reporting person's account on 07/03/19. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.
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(4)
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As previously reported, on 09/20/17 the reporting person was granted 73,368 RSUs, 24,456 of which vested on 09/20/18, and 24,456 of which will vest on each of 09/20/19 and 09/20/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 359.8823 dividend equivalent rights at $15.29 per RSU credited to the reporting person's account on 07/03/19. The number of derivative securities in column 5 includes 1,140 vested dividend equivalent rights and a de minimus adjustment of 0.6258 due to fractional rounding of the dividend equivalent rights.
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(5)
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As previously reported, on 12/07/17 the reporting person was granted 210,970 RSUs, 70,323 of which vested on 12/07/18, 70,323 of which will vest on 12/07/19, and 70,324 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 1,034.8455 dividend equivalent rights at $15.29 per RSU credited to the reporting person's account on 07/03/19.
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(6)
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As previously reported, on 12/10/18 the reporting person was granted 120,110 RSUs, 40,036 of which will vest on 12/10/19, and 40,037 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 883.7394 dividend equivalent rights at $15.29 per RSU credited to the reporting person's account on 07/03/19.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Davis Philip C/O HEWLETT PACKARD ENTERPRISE COMPANY 6280 AMERICA CENTER DRIVE SAN JOSE, CA 95002
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CSO, Pres Hybrid IT
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Signatures
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Derek Windham as Attorney-in-Fact for Philip Davis
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9/23/2019
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**Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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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 control number.
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