Statement of Changes in Beneficial Ownership (4)
08 Diciembre 2020 - 3:44PM
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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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
*
Neri Antonio F |
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)
President and CEO |
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(Last)
(First)
(Middle)
C/O HEWLETT PACKARD ENTERPRISE COMPANY, 11445 COMPAQ CENTER DRIVE WEST |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/4/2020 |
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(Street)
HOUSTON, TX 77070
(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 | 12/4/2020 | | M | | 162142 | A | $4.58 | 440677 | D |
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| Common Stock | 12/4/2020 | | F | | 98642 | D | $12.34 | 342035 | 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) | 1/2/2020 | | A | | 4743.5575 (2) | | (2) | (2) | Common Stock | 4743.5575 | (2) | 115965.557 | D |
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| Restricted Stock Units | (1) | 1/2/2020 | | A | | 10442.2478 (3) | | (3) | (3) | Common Stock | 10442.2478 | (3) | 249760.247 | D |
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| Restricted Stock Units | (1) | 1/2/2020 | | A | | 15259.239 (4) | | (4) | (4) | Common Stock | 15259.239 | (4) | 354590.239 | D |
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| Employee Stock Option (Right to Buy) (5) | $4.58 | 12/4/2020 | | M | | | 162142 | 12/6/2013 (6) | 12/6/2020 (7) | Common Stock | 162142 | $0 | 0 | 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 316,456 Restricted Stock Units ("RSUs"), 105,485 of which vested on 12/07/18, 105,485 of which vested on 12/07/19, and 105,486 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 782.8275 dividend equivalent rights at $16.17 per RSU credited to the reporting person's account on 01/02/20; 1,321.3278 dividend equivalent rights at $9.58 per RSU credited to the reporting person's account on 04/01/20; 1,343.7707 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 1,295.6315 dividend equivalent rights at $9.77 per RSU credited to the reporting person's account on 10/07/20. |
| (3) | As previously reported, on 12/10/18 the reporting person was granted 348,318 RSUs, 116,106 of which vested on 12/10/19, and 116,106 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 1,723.2801 dividend equivalent rights at $16.17 per RSU credited to the reporting person's account on 01/02/20; 2,908.7098 dividend equivalent rights at $9.58 per RSU credited to the reporting person's account on 04/01/20; 2,958.1146 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 2,852.1433 dividend equivalent rights at $9.77 per RSU credited to the reporting person's account on 10/07/20. |
| (4) | As previously reported, on 12/10/19 the reporting person was granted 339,331 RSUs, 113,110 of which will vest on each of 12/10/20 and 12/10/21, and 113,111 of which will vest on 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 2,518.2263 dividend equivalent rights at $16.17 per RSU credited to the reporting person's account on 01/02/20; 4,250.4927 dividend equivalent rights at $9.58 per RSU credited to the reporting person's account on 04/01/20; 4,322.6879 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 4,167.8321 dividend equivalent rights at $9.77 per RSU credited to the reporting person's account on 10/07/20. |
| (5) | This option reflects the conversion adjustments previously reported. |
| (6) | This option became exercisable beginning on this date. |
| (7) | This option is no longer exercisable beginning on this date. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Neri Antonio F
C/O HEWLETT PACKARD ENTERPRISE COMPANY
11445 COMPAQ CENTER DRIVE WEST
HOUSTON, TX 77070 |
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| President and CEO |
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Signatures
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| Derek Windham as Attorney-in-Fact for Antonio F. Neri | | 12/8/2020 |
| **Signature of Reporting Person | Date |
Hewlett Packard Enterprise (NYSE:HPE)
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