Statement of Changes in Beneficial Ownership (4)
14 Diciembre 2020 - 05:20PM
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
|
OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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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 * MacDonald Neil B |
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, GM of Compute |
(Last)
(First)
(Middle)
C/O HEWLETT PACKARD ENTERPRISE COMPANY, 11445 COMPAQ CENTER
DRIVE WEST |
3. Date of Earliest Transaction (MM/DD/YYYY)
12/10/2020
|
(Street)
HOUSTON, TX 77070
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
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 |
12/10/2020 |
|
M |
|
8859 |
A |
$12.12 |
22831.333 |
D |
|
Common Stock |
12/10/2020 |
|
F |
|
3065 |
D |
$12.12 |
19766.333 |
D |
|
Common Stock |
12/10/2020 |
|
M |
|
12096 |
A |
$12.12 |
31862.333 |
D |
|
Common Stock |
12/10/2020 |
|
F |
|
4184 |
D |
$12.12 |
27678.333 |
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 |
(1) |
12/10/2020 |
|
M |
|
|
8859 (2) |
(2) |
(2) |
Common Stock |
8859 |
(2) |
8858 |
D |
|
Restricted Stock Units |
(1) |
12/10/2020 |
|
M |
|
|
12096 (3) |
(3) |
(3) |
Common Stock |
12096 |
(3) |
24188 |
D |
|
Restricted Stock Units |
(1) |
12/10/2020 |
|
A |
|
61881 (4) |
|
(4) |
(4) |
Common Stock |
61881 |
(4) |
61881 |
D |
|
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
12/10/18, the reporting person was granted 24,708 Restricted Stock
Units ("RSUs"), 8,236 of which vested on each of 12/10/19 and
12/10/20, and 8,236 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. The number of
derivative securities in column 5 also includes 623 vested dividend
equivalent rights and a de minimus adjustment of 0.2772 due to
fractional rounding of the dividend equivalent rights. |
(3) |
As previously reported, on
12/10/19, the reporting person was granted 34,722 RSUs, 11,574 of
which vested on 12/10/20, and 11,574 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. The number of derivative securities in column 5 also
includes 522 vested dividend equivalent rights and a de minimus
adjustment of 0.6003 due to fractional rounding of the dividend
equivalent rights. |
(4) |
On 12/10/20 the reporting
person was granted 61,881 RSUs, 20,627 of which will vest on each
of 12/10/21, 12/10/22 and 12/10/23. Dividend equivalent rights
accrue with respect to these RSUs when and as dividends are paid on
Issuer's common stock. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
MacDonald Neil B
C/O HEWLETT PACKARD ENTERPRISE COMPANY
11445 COMPAQ CENTER DRIVE WEST
HOUSTON, TX 77070 |
|
|
SVP, GM of Compute |
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Signatures
|
Derek Windham as Attorney-in-Fact for Neil B
MacDonald |
|
12/14/2020 |
**Signature of Reporting
Person |
Date |