Statement of Changes in Beneficial Ownership (4)
21 Octubre 2020 - 5:32PM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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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Black Thomas E Jr |
2. Issuer Name and Ticker or Trading Symbol
Hewlett Packard Enterprise Co
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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)
SVP, GM of Storage |
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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)
10/19/2020 |
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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 | 10/19/2020 | | M | | 13933 | A | $9.35 | 23936 | D |
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| Common Stock | 10/19/2020 | | F | | 4819 | D | $9.35 | 19117 | 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) | 7/1/2020 | | A | | 234.63 (2) | | (2) | (2) | Common Stock | 234.63 | (2) | 10307.6705 | D |
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| Restricted Stock Units | (1) | 7/1/2020 | | A | | 359.31 (3) | | (3) | (3) | Common Stock | 359.31 | (3) | 15650.3066 | D |
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| Restricted Stock Units | (1) | 10/19/2020 | | M | | | 13933 (4) | (4) | (4) | Common Stock | 13933 | (4) | 13932 | D |
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| Restricted Stock Units | (1) | 7/1/2020 | | A | | 457.97 (5) | | (5) | (5) | Common Stock | 457.97 | (5) | 19686.0602 | D |
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| Restricted Stock Units | (1) | 7/1/2020 | | A | | 1263.7 (6) | | (6) | (6) | Common Stock | 1263.7 | (6) | 52776.139 | 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 12/07/17, the reporting person was granted 28,129 restricted stock units ("RSUs"), 9,376 of which vested on each of 12/07/18 and 12/07/19, and 9,377 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 119.4522 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 115.1730 dividend equivalent rights at $9.77 per RSU credited to the reporting person's account on 10/07/20. |
| (3) | As previously reported, on 05/22/18 the reporting person was granted 43,079 RSUs 14,359 of which vested on 05/22/19, 14,360 of which vested on 05/22/20, and 14,360 of which will vest on 05/22/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 182.9299 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 176.3767 dividend equivalent rights at $9.77 per RSU credited to the reporting person's account on 10/07/20. |
| (4) | As previously reported, on 10/19/18, the reporting person was granted 38,860 RSUs, 12,953 of which vested on 10/19/19, 12,953 of which will vest on 10/19/20, and 12,954 of which will vest on 10/19/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 330.0255 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 318.2027 dividend equivalent rights at $9.77 per RSU credited to the reporting person's account on 10/07/20. The number of derivative securities in column 5 includes 980 vested dividend equivalent rights and a de minimus adjustment of 0.9985 due to fractional rounding of the dividend equivalent rights. |
| (5) | As previously reported, on 12/10/18, the reporting person was granted 27,454 RSUs, 9,151 of which vested on 12/10/19, and 9,151 of which will vest on 12/10/20, and 9,152 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 233.1592 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 224.8066 dividend equivalent rights at $9.77 per RSU credited to the reporting person's account on 10/07/20. |
| (6) | As previously reported, on 12/10/19, the reporting person was granted 50,505 RSUs, 16,835 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. Also included are 643.3758 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 620.3275 dividend equivalent rights at $9.77 per RSU credited to the reporting person's account on 10/07/20. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Black Thomas E Jr
C/O HEWLETT PACKARD ENTERPRISE COMPANY
6280 AMERICA CENTER DRIVE
SAN JOSE, CA 95002 |
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| SVP, GM of Storage |
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Signatures
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| Derek Windham as Attorney-in-Fact for Thomas E Black Jr | | 10/21/2020 |
| **Signature of Reporting Person | Date |
Hewlett Packard Enterprise (NYSE:HPE)
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