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
*
Melkote Keerti |
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 Intelligent Edge |
(Last)
(First)
(Middle)
C/O HEWLETT PACKARD 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 | | 77311 | A | $12.08 | 77311 | D | |
Common Stock | 12/7/2020 | | F | | 26736 | D | $12.08 | 50575 | D | |
Common Stock | 12/7/2020 | | A | | 47984 (2) | A | $12.08 | 98559 | D | |
Common Stock | 12/7/2020 | | F | | 22980 | D | $12.08 | 75579 | D | |
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) | 12/7/2020 | | M | | | 77311 (3) | (3) | (3) | Common Stock | 77311 | (3) | 0 | D | |
Restricted Stock Units | (1) | 1/2/2020 | | A | | 3343.595 (4) | | (4) | (4) | Common Stock | 3343.595 | (4) | 79972.595 | D | |
Restricted Stock Units | (1) | 1/2/2020 | | A | | 4613.2384 (5) | | (5) | (5) | Common Stock | 4613.2384 | (5) | 107201.238 | D | |
Explanation of Responses: |
(1) | Each restricted stock unit represents a contingent right to receive one share of 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) | As previously reported, on 12/07/17 the reporting person was granted 210,970 Restricted Stock Units ("RSUs"), 70,323 of which vested on 12/07/18, 70,323 of which vested on 12/07/19, and 70,324 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 521.8850 dividend equivalent rights at $16.17 per RSU credited to the reporting person's account on 01/02/20; 880.8852 dividend equivalent rights at $9.58 per RSU credited to the reporting person's account on 04/01/20; 895.8471 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 863.7544 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 6,987 vested dividend equivalent rights and a de minimus adjustment of 0.6283 due to fractional rounding of the dividend equivalent rights. |
(4) | As previously reported, on 12/10/18 the reporting person was granted 111,531 RSUs, 37,177 of which vested on 12/10/19, and 37,177 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 551.7922 dividend equivalent rights at $16.17 per RSU credited to the reporting person's account on 01/02/20; 931.3653 dividend equivalent rights at $9.58 per RSU credited to the reporting person's account on 04/01/20; 947.1847 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 913.2528 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 102,588 RSUs, 34,196 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 761.3210 dividend equivalent rights at $16.17 per RSU credited to the reporting person's account on 01/02/20; 1,285.0271 dividend equivalent rights at $9.58 per RSU credited to the reporting person's account on 04/01/20; 1,306.8535 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 1,260.0368 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 |
Melkote Keerti C/O HEWLETT PACKARD COMPANY 11445 COMPAQ CENTER DRIVE WEST HOUSTON, TX 77070 |
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| President Intelligent Edge |
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Signatures
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Derek Windham as Attorney-in-Fact for Keerti Melkote | | 12/9/2020 |
**Signature of Reporting Person | Date |
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