Statement of Changes in Beneficial Ownership (4)
09 Diciembre 2020 - 05:27PM
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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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 * Karros Kirt P |
2. Issuer Name and Ticker or Trading
Symbol Hewlett Packard Enterprise Co [ HPE ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
SVP, Finance & Treasurer |
(Last)
(First)
(Middle)
C/O HEWLETT PACKARD ENTERPRISE COMPANY, 11445 COMPAQ CENTER
DRIVE WEST |
3. Date of Earliest Transaction (MM/DD/YYYY)
12/7/2020
|
(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 |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
12/7/2020 |
|
M |
|
18684 |
A |
$12.08 |
18684 |
D |
|
Common Stock |
12/7/2020 |
|
F |
|
6462 |
D |
$12.08 |
12222 |
D |
|
Common Stock |
12/9/2020 |
|
S |
|
12222 (1) |
D |
$12.04 |
0 |
D |
|
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
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 |
(2) |
12/7/2020 |
|
M |
|
|
18684 (3) |
(3) |
(3) |
Common Stock |
18684 |
(3) |
0 |
D |
|
Restricted Stock Units |
(2) |
1/2/2020 |
|
A |
|
1234.5679 (4) |
|
(4) |
(4) |
Common Stock |
1234.5679 |
(4) |
29528.5679 |
D |
|
Restricted Stock Units |
(2) |
1/2/2020 |
|
A |
|
1845.2865 (5) |
|
(5) |
(5) |
Common Stock |
1845.2865 |
(5) |
42880.2865 |
D |
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Explanation of
Responses: |
(1) |
The sales reported on this
Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan
adopted by the reporting person on 09/10/20. |
(2) |
Each restricted stock unit
represents a contingent right to receive one share of Issuer's
common stock. |
(3) |
As previously reported, on
12/07/17 the reporting person was granted 50,985 Restricted Stock
Units ("RSUs"), 16,995 of which vested on 12/07/18, 16,995 of which
vested on 12/07/19 and 16,995 of which vested 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
126.1224 dividend equivalent rights at $16.17 per RSU credited to
the reporting person's account on 01/02/20; 212.8810 dividend
equivalent rights at $9.58 per RSU credited to the reporting
person's account on 04/01/20; 216.4968 dividend equivalent rights
at $9.42 per RSU credited to the reporting person's account on
07/01/20; and 208.7410 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 also includes 1,689 vested
dividend equivalent rights and a de minimus adjustment of 0.7588
due to fractional rounding of the dividend equivalent
rights. |
(4) |
As previously reported, on
12/10/18 the reporting person was granted 41,181 RSUs, 13,727 of
which vested on 12/10/19, and 13,727 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 203.7403 dividend equivalent rights
at $16.17 per RSU credited to the reporting person's account on
01/02/20; 343.8914 dividend equivalent rights at $9.58 per RSU
credited to the reporting person's account on 04/01/20; 349.7325
dividend equivalent rights at $9.42 per RSU credited to the
reporting person's account on 07/01/20; and 337.2037 dividend
equivalent rights at $9.77 per RSU credited to the reporting
person's account on 10/07/20. |
(5) |
As previously reported, on
12/10/19 the reporting person was granted 41,035 RSUs, 13,678 of
which will vest on each of 12/10/20 and 12/10/21, and 13,679 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 304.5269 dividend equivalent rights
at $16.17 per RSU credited to the reporting person's account on
01/02/20; 514.0084 dividend equivalent rights at $9.58 per RSU
credited to the reporting person's account on 04/01/20; 522.7389
dividend equivalent rights at $9.42 per RSU credited to the
reporting person's account on 07/01/20; and 504.0123 dividend
equivalent rights at $9.77 per RSU credited to the reporting
person's account on 10/07/20. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Karros Kirt P
C/O HEWLETT PACKARD ENTERPRISE COMPANY
11445 COMPAQ CENTER DRIVE WEST
HOUSTON, TX 77070 |
|
|
SVP, Finance & Treasurer |
|
Signatures
|
Derek Windham as Attorney-in-Fact for Kirt P.
Karros |
|
12/9/2020 |
**Signature of Reporting
Person |
Date |