Statement of Changes in Beneficial Ownership (4)
10 Diciembre 2019 - 5:36PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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
Estimated average burden
hours per response...
0.5
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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
*
Rothman Irv |
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)
President Financial Services |
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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)
12/7/2019 |
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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 | 12/7/2019 | | M | | 8794 | A | $15.91 | 8794 | D |
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| Common Stock | 12/7/2019 | | F | | 4139 | D | $15.91 | 4655 | D |
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| Common Stock | 12/7/2019 | | M | | 12359 | A | $15.91 | 17014 | D |
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| Common Stock | 12/7/2019 | | F | | 5813 | D | $15.91 | 11201 | 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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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) | 12/7/2019 | | M | | | 8794 (2) | (2) | (2) | Common Stock | 8794 | (2) | 0 | D |
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| Restricted Stock Units | (1) | 12/7/2019 | | M | | | 12359 (3) | (3) | (3) | Common Stock | 12359 | (3) | 12358 | D |
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| Restricted Stock Units | (1) | 7/3/2019 | | A | | 389.8949 (4) | | (4) | (4) | Common Stock | 389.8949 | (4) | 26525.6986 | D |
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| 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 12/07/16 the reporting person was granted 24,675 restricted stock units ("RSUs"), 8,224 of which vested on 12/07/17, 8,224 of which vested on 12/07/18, and 8,227 of which vested 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 124.6276 dividend equivalent rights that reflect 60.5322 dividend equivalent rights at $15.29 per RSU credited to the reporting person's account on 07/03/19, and 64.0954 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19. The number of derivative securities in column 5 also includes 567 vested dividend equivalent rights and a de minimus adjustment of 0.2168 due to fractional rounding of the dividend equivalent rights. |
| (3) | As previously reported, on 12/07/17 the reporting person was granted 35,162 RSUs, 11,720 of which early vested on 06/07/18, and 11,721 of which vested on 12/07/19 and 11,721 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 355.1137 dividend equivalent rights that reflect 172.4804 dividend equivalent rights at $15.29 per RSU credited to the reporting person's account on 07/03/19, and 182.6333 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19. The number of derivative securities in column 5 also includes 638 vested dividend equivalent rights and a de minimus adjustment of 0.5703 due to fractional rounding of the dividend equivalent rights. |
| (4) | As previously reported, 12/10/18 the reporting person was granted 25,738 RSUs, 8,579 of which will vest on each of 12/10/19 and 12/10/20, and 8,580 of which will vest on 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 389.8949 dividend equivalent rights that reflect 189.3738 dividend equivalent rights at $15.29 per RSU credited to the reporting person's account on 07/03/19, and 200.5211 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Rothman Irv
C/O HEWLETT PACKARD ENTERPRISE COMPANY
6280 AMERICA CENTER DRIVE
SAN JOSE, CA 95002 |
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| President Financial Services |
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Signatures
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| Derek Windham as Attorney-in-Fact for Irv Rothman | | 12/10/2019 |
| **Signature of Reporting Person | Date |
Hewlett Packard Enterprise (NYSE:HPE)
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