Statement of Changes in Beneficial Ownership (4)
17 Diciembre 2020 - 05:14PM
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 * TAN LIP BU |
2. Issuer Name and Ticker or Trading
Symbol Hewlett Packard Enterprise Co [ HPE ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
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(Last)
(First)
(Middle)
C/O HEWLETT PACKARD ENTERPRISE COMPANY, 11445 COMPAQ CENTER
DRIVE WEST |
3. Date of Earliest Transaction (MM/DD/YYYY)
12/15/2020
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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
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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 |
12/15/2020 |
|
A |
|
2054 (1) |
A |
$12.17 |
92916 |
D |
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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 |
Common Stock |
(2) |
10/7/2020 |
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A |
|
291.5251 (3) |
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(3) |
(3) |
Common Stock |
291.5251 |
(3) |
24328.8818 |
D |
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Explanation of
Responses: |
(1) |
These shares were issued to
the reporting person pursuant to the Issuer's 2015 Stock Incentive
Plan in lieu of Q3 cash retainer of $25,000 for Issuer's Board Year
2020. |
(2) |
Each restricted stock unit
represents a contingent right to receive one share of Issuer's
common stock. |
(3) |
As previously reported, on
05/01/20, the reporting person was granted 23,735 restricted stock
units ("RSUs"), all of which will cliff vest on the earlier of
05/01/21 or the date of Issuer's 2021 Annual Stockholders Meeting.
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 includes 291.5251 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 |
TAN LIP BU
C/O HEWLETT PACKARD ENTERPRISE COMPANY
11445 COMPAQ CENTER DRIVE WEST
HOUSTON, TX 77070 |
X |
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|
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Signatures
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Derek Windham as Attorney-in-Fact for Lip-Bu
Tan |
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12/17/2020 |
**Signature of Reporting
Person |
Date |