Statement of Changes in Beneficial Ownership (4)
09 Diciembre 2020 - 05:28PM
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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MAY ALAN RICHARD |
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) EVP, Chief People Officer |
(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
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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 | 12/7/2020 | | M | | 38656 | A | $12.08 | 182926 | D | |
Common Stock | 12/7/2020 | | F | | 13450 | D | $12.08 | 169476 | D | |
Common Stock | 12/7/2020 | | A | | 45252 (1) | A | $12.08 | 214728 | D | |
Common Stock | 12/7/2020 | | F | | 16043 | D | $12.08 | 198685 | D | |
Common Stock | 12/7/2020 | | A | | 36911 (2) | A | $12.08 | 235596 | D | |
Common Stock | 12/7/2020 | | F | | 18302 | D | $12.08 | 217294 | D | |
Common Stock | | | | | | | | 100827 | I | By Joint Trust |
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 | (3) | 12/7/2020 | | M | | | 38656 (4) | (4) | (4) | Common Stock | 38656 | (4) | 0 | D | |
Restricted Stock Units | (3) | 1/2/2020 | | A | | 2572.0239 (5) | | (5) | (5) | Common Stock | 2572.0239 | (5) | 61518.0239 | D | |
Restricted Stock Units | (3) | 1/2/2020 | | A | | 4258.3913 (6) | | (6) | (6) | Common Stock | 4258.3913 | (6) | 98955.3913 | D | |
Explanation of Responses: |
(1) | As previously reported, on 12/07/17 the reporting person was granted performance adjusted restricted stock units ("PARSUs") subject to Non-GAAP Net Income and relative total stockholder return conditions being met at the time of vesting. These PARSUs vest 50% after 2 and 3 years subject to performance, and are issued in Issuer's common stock. |
(2) | On 12/10/18 the reporting person was granted PARSUs subject to Non-GAAP Net Income and relative total stockholder return conditions being met at the time of vesting. These PARSUs vest 50% after 2 and 3 years subject to performance, and are issued in Issuer's common stock. |
(3) | Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. |
(4) | As previously reported, on 12/07/17, the reporting person was granted 105,485 Restricted Stock Units ("RSUs"), 35,161 of which vested on 12/07/18, 35,162 of which vested on 12/07/19 and 35,162 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 260.9425 dividend equivalent rights at $16.17 per RSU credited to the reporting person's account on 01/02/20; 440.4426 dividend equivalent rights at $9.58 per RSU credited to the reporting person's account on 04/01/20; 447.9236 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 431.8722 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 3,494 vested dividend equivalent rights and a de minimus adjustment of 0.8141 due to fractional rounding of the dividend equivalent rights. |
(5) | As previously reported, on 12/10/18 the reporting person was granted 85,793 RSUs, 28,597 of which vested on 12/10/19, and 28,598 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 424.4601 dividend equivalent rights at $16.17 per RSU credited to the reporting person's account on 01/02/20; 716.4426 dividend equivalent rights at $9.58 per RSU credited to the reporting person's account on 04/01/20; 728.6115 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 702.5097 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 94,697 RSUs, 31,565 of which will vest on 12/10/20, and 31,566 of which will vest on each of 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 702.7607 dividend equivalent rights at $16.17 per RSU credited to the reporting person's account on 01/02/20; 1,186.1837 dividend equivalent rights at $9.58 per RSU credited to the reporting person's account on 04/01/20; 1,206 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 1,163.11570 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 |
MAY ALAN RICHARD C/O HEWLETT PACKARD ENTERPRISE COMPANY 11445 COMPAQ CENTER DRIVE WEST HOUSTON, TX 77070 |
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| EVP, Chief People Officer |
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Signatures
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Derek Windham as Attorney-in-Fact for Alan R. May | | 12/9/2020 |
**Signature of Reporting Person | Date |
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