Statement of Changes in Beneficial Ownership (4)
14 Diciembre 2020 - 05:36PM
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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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 * SCHULTZ JOHN F |
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)
EVP, COLO & SEC |
(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
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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 |
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 |
|
39987 |
A |
$12.12 |
551522.0693 (1) |
D |
|
Common Stock |
12/10/2020 |
|
F |
|
19827 |
D |
$12.12 |
531695.0693 |
D |
|
Common Stock |
12/10/2020 |
|
M |
|
38483 |
A |
$12.12 |
570178.0693 |
D |
|
Common Stock |
12/10/2020 |
|
F |
|
19081 |
D |
$12.12 |
551097.0693 |
D |
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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) |
12/10/2020 |
|
M |
|
|
39987 (3) |
(3) |
(3) |
Common Stock |
39987 |
(3) |
39986 |
D |
|
Restricted Stock Units |
(2) |
12/10/2020 |
|
M |
|
|
38483 (4) |
(4) |
(4) |
Common Stock |
38483 |
(4) |
76966 |
D |
|
Restricted Stock Units |
(2) |
12/10/2020 |
|
A |
|
178424 (5) |
|
(5) |
(5) |
Common Stock |
178424 |
(5) |
178424 |
D |
|
Explanation of
Responses: |
(1) |
To clarify, the total
beneficial ownership in Column 5 reflects an adjustment of 26,535
shares in connection with the 12/07/20 vesting of the reporting
person's performance adjusted restricted stock units previously
reported as 3,791 instead of 23,791 shares withheld for taxes, and
18,918 instead of 25,453 shares withheld for taxes, thereby
reducing the beneficial holdings from 538,070.0693 to
511,535.0693. |
(2) |
Each restricted stock unit
represents a contingent right to receive one share of Issuer's
common stock. |
(3) |
As previously reported, on
12/10/18 the reporting person was granted 111,531 Restricted Stock
Units ("RSUs"), 37,177 of which vested on each of 12/10/19 and
12/10/20, and 37,177 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 2,810 vested
dividend equivalent rights and a de minimus adjustment of 0.4050
due to fractional rounding of the dividend equivalent
rights. |
(4) |
As previously reported, on
12/10/19 the reporting person was granted 110,480 RSUs, 36,826 of
which vested on 12/10/20, and 36,827 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 1,657 vested dividend equivalent rights and a de minimus
adjustment of 0.8694 due to fractional rounding of the dividend
equivalent rights. |
(5) |
On 12/10/20 the reporting
person was granted 178,424 RSUs, 59,474 of which will vest on
12/10/21, and 59,475 of which will vest on each of 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 |
SCHULTZ JOHN F
C/O HEWLETT PACKARD ENTERPRISE COMPANY
11445 COMPAQ CENTER DRIVE WEST
HOUSTON, TX 77070 |
|
|
EVP, COLO & SEC |
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Signatures
|
Derek Windham as Attorney-in-Fact for John F.
Schultz |
|
12/14/2020 |
**Signature of Reporting
Person |
Date |