Statement of Changes in Beneficial Ownership (4)
23 Octubre 2019 - 3:40PM
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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SCHULTZ JOHN F |
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) EVP, CLAA & SEC
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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)
10/21/2019
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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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10/21/2019
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M
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35002
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A
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$8.92
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332927.8774 (1)
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D
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Common Stock
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10/21/2019
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S
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35002 (2)
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D
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$16.0371 (3)
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297925.8774
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D
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Common Stock
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10/21/2019
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M
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197164
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A
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$8.62
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495089.8774
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D
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Common Stock
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10/21/2019
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S
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197164 (2)
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D
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$16.0371 (3)
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297925.8774
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D
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Common Stock
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10/21/2019
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M
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123409
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A
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$8.83
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421334.8774
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D
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Common Stock
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10/21/2019
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S
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123409 (2)
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D
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$16.0371 (3)
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297925.8774
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D
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Common Stock
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10/21/2019
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M
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77423
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A
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$14.67
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375348.8774
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D
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Common Stock
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10/21/2019
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S
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77423 (2)
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D
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$16.0371 (3)
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297925.8774
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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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(4)
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4/3/2019
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A
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695.27 (5)
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(5)
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(5)
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Common Stock
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695.27
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(5)
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33409.4824
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D
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Restricted Stock Units
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(4)
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4/3/2019
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A
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2085.93 (6)
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(6)
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(6)
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Common Stock
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2085.93
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(6)
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98864.6308
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D
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Restricted Stock Units
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(4)
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4/3/2019
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A
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2481.16 (7)
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(7)
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(7)
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Common Stock
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2481.16
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(7)
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114944.35
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D
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Restricted Stock Units
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(4)
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4/3/2019
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A
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1911.5 (8)
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(8)
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(8)
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Common Stock
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1911.5
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(8)
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128094.496
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D
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Employee Stock Option (Right to Buy)
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$8.92
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10/21/2019
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M
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35002
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12/11/2014 (9)
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12/11/2021 (10)
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Common Stock
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35002
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$0
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0
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D
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Employee Stock Option (Right to Buy)
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$8.62
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10/21/2019
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M
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197164
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11/2/2016 (9)
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11/2/2023 (10)
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Common Stock
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197164
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$0
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0
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D
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Employee Stock Option (Right to Buy)
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$8.83
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10/21/2019
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M
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123409
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12/9/2016 (9)
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12/9/2023 (10)
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Common Stock
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123409
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$0
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0
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D
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Employee Stock Option (Right to Buy)
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$14.67
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10/21/2019
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M
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77423
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12/7/2017 (9)
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12/7/2024 (10)
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Common Stock
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77423
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$0
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111816
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D
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Explanation of Responses:
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(1)
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The total beneficial ownership includes 482.6924 shares at $15.02 per share acquired under the Issuer's 2015 Employee Stock Purchase Plan ("ESPP") on 04/30/19 with respect to shares held under the ESPP. The total beneficial ownership includes the acquisition of 4.6630 shares at $13.46 per share received on 01/02/19 through dividends paid in shares, 3.9800 shares at $15.85 per share received on 04/03/19 through dividends paid in shares, 4.1930 shares at $15.29 per share received on 07/03/19 through dividends paid in shares, and 4.4610 shares at $14.44 per share received on 10/02/19 through dividends paid in shares.
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(2)
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The sale reported on this Form 4 was effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 09/11/19.
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(3)
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The price in Column 4 is a weighted average price. The prices actually paid ranged from $16.00 to $16.125. 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.
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(4)
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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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(5)
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As previously reported, on 12/07/16 the reporting person was granted 55,713 Restricted Stock Units ("RSUs"), 31,251 of which vested on 12/07/17, 31,253 of which vested on 12/07/18, and 31,253 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 221.8273 dividend equivalent rights at $15.85 per RSU credited to the reporting person's account on 04/03/19, 229.9518 dividend equivalent rights at $15.29 per RSU credited to the reporting person's account on 07/03/19, and 243.4877 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19. RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.
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(6)
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As previously reported, on 12/07/17 the reporting person was granted 140,647 RSUs, 46,882 of which vested on 12/07/18, 46,882 of which will vest on 12/07/19, and 46,883 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 665.5244 dividend equivalent rights at $15.85 per RSU credited to the reporting person's account on 04/03/19, 689.8994 dividend equivalent rights at $15.29 per RSU credited to the reporting person's account on 07/03/19, and 730.5099 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19.
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(7)
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As previously reported, on 12/10/18 the reporting person was granted 111,531 RSUs, 37,177 of which will vest on each of 12/10/19, 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 791.6238 dividend equivalent rights at $15.85 per RSU credited to the reporting person's account on 04/03/19, 820.6172 dividend equivalent rights at $15.29 per RSU credited to the reporting person's account on 07/03/19, and 868.9223 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19.
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(8)
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As previously reported, on 04/03/19, the reporting person was granted 126,183 RSUs, all of which will cliff vest on 04/03/22. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 928.4230 dividend equivalent rights at $15.29 per RSU credited to the reporting person's account on 07/03/19, and 983.0739 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19.
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(9)
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This option became exercisable beginning on this date.
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(10)
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This option is no longer exercisable beginning on this date.
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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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SCHULTZ JOHN F C/O HEWLETT PACKARD ENTERPRISE COMPANY 6280 AMERICA CENTER DRIVE SAN JOSE, CA 95002
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EVP, CLAA & SEC
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Signatures
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Derek Windham as Attorney-in-Fact for John F. Schultz
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10/23/2019
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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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Hewlett Packard Enterprise (NYSE:HPE)
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