Initial Statement of Beneficial Ownership (3)
22 Mayo 2020 - 3:37PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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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MacDonald Neil B |
2. Date of Event Requiring Statement (MM/DD/YYYY)
5/12/2020
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3. Issuer Name and Ticker or Trading Symbol
Hewlett Packard Enterprise Co [HPE]
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(Last)
(First)
(Middle)
C/O HEWLETT PACKARD ENTERPRISE COMPANY, 6280 AMERICA CENTER DRIVE |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
SVP, GM of Compute / |
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(Street)
SAN JOSE, CA 95002
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Common Stock | 2631.654 | 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. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Employee Stock Option (right to buy) (4) | 9/17/2015 (1) | 12/10/2022 (2) | Common Stock | 9532 | $12.36 | D |
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| Employee Stock Option (right to buy) (4) | 12/9/2016 (1) | 12/9/2023 (2) | Common Stock | 5668 | $8.83 | D |
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| Employee Stock Option (right to buy) (4) | 12/7/2017 (1) | 12/7/2024 (2) | Common Stock | 7671 | $14.67 | D |
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| Restricted Stock Units | (5) | (5) | Common Stock | 4154.1559 | (3) | D |
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| Restricted Stock Units | (6) | (6) | Common Stock | 17304.5711 | (3) | D |
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| Restricted Stock Units | (7) | (7) | Common Stock | 38200.0842 | (3) | D |
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| Restricted Stock Units | (8) | (8) | Common Stock | 35414.6083 | (3) | D |
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| Explanation of Responses: |
| (1) | This option became exercisable beginning on this date and is fully vested. |
| (2) | This option is no longer exercisable beginning on this date. |
| (3) | Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. |
| (4) | As reported in the Registration Statements on Form 10 filed by Issuer with the SEC, in connection with the spin-offs of Everett SpinCo, Inc. on 04/01/17 and Seattle SpinCo, Inc. on 09/01/17, equity-based awards granted by Issuer, prior to the spin-offs 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-offs, 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-offs, unless otherwise noted. The reporting person's equity based awards reflect the conversion adjustments. |
| (5) | On 12/07/17, the reporting person was granted 11,603 restricted stock units ("RSUs"), 3,867 of which vested on 12/07/18, 3,868 of which vested on 12/07/19, and 3,868 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. The number of units reported in Column 3 includes 286.1559 dividend equivalent rights accrued but not released since the grant date. |
| (6) | On 12/10/18, the reporting person was granted 24,708 RSUs, 8,236 of which vested on 12/10/19, and 8,236 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. The number of units reported in Column 3 includes 832.5711 dividend equivalent rights accrued but not released since the grant date. |
| (7) | On 10/23/19, the reporting person was granted 37,453 RSUs, 12,484 of which will vest on each of 10/23/20 and 10/23/21, and 12,485 of which will vest on 10/23/22. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of units reported in Column 3 includes 747.0842 dividend equivalent rights accrued but not released since the grant date. |
| (8) | On 12/10/19, the reporting person was granted 34,722 RSUs, 11,574 of which will vest on each of 12/10/20, 12/10/21, and 12/10/22. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of units reported in Column 3 includes 692.6083 dividend equivalent rights accrued but not released since the grant date. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
MacDonald Neil B
C/O HEWLETT PACKARD ENTERPRISE COMPANY
6280 AMERICA CENTER DRIVE
SAN JOSE, CA 95002 |
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| SVP, GM of Compute |
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Signatures
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| Derek Windham as Attorney-in-Fact for Neil B MacDonald | | 5/22/2020 |
| **Signature of Reporting Person | Date |
Hewlett Packard Enterprise (NYSE:HPE)
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