SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Ricci Jeff T

(Last) (First) (Middle)
C/O HEWLETT PACKARD ENTERPRISE COMPANY
11445 COMPAQ CENTER DRIVE WEST

(Street)
HOUSTON TX 77070

(City) (State) (Zip)
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, Controller & PAO
3. Date of Earliest Transaction (Month/Day/Year)
12/09/2021
4. If Amendment, Date of Original Filed (Month/Day/Year)
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. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction 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 12/10/2021 M 13,251 A $15.21 13,251 D
Common Stock 12/10/2021 F 4,271 D $15.21 8,980 D
Common Stock 12/10/2021 M 1,488 A $15.21 10,468 D
Common Stock 12/10/2021 F 515 D $15.21 9,953 D
Common Stock 12/10/2021 M 12,188 A $15.21 22,141 D
Common Stock 12/10/2021 F 3,929 D $15.21 18,212 D
Common Stock 12/10/2021 M 983 A $15.21 19,195 D
Common Stock 12/10/2021 F 340 D $15.21 18,855 D
Common Stock 12/10/2021 M 17,876 A $15.21 36,731 D
Common Stock 12/10/2021 F 6,182 D $15.21 30,549 D
Common Stock 12/10/2021 M 609 A $15.21 31,158 D
Common Stock 12/10/2021 F 211 D $15.21 30,947 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction 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 (Month/Day/Year) 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: 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) 12/10/2021 M 13,251(2)(3) (2) (2) Common Stock 13,251 (2) 0 D
Restricted Stock Units (1) 12/10/2021 M 12,188(4)(5) (4) (4) Common Stock 12,188 (4) 13,170 D
Restricted Stock Units (1) 12/10/2021 M 17,876(6)(7) (6) (6) Common Stock 17,876 (6) 36,968 D
Restricted Stock Units (1) 12/09/2021 A 48,765(8) (8) (8) Common Stock 48,765 (8) 48,765 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 41,181 Restricted Stock Units ("RSUs"), 13,727 of which vested on each of 12/10/19 and 12/10/20, and 13,251 of which vested 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 includes 132.0698 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, 100.0075 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21, 110.1191 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 108.0979 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21.
3. The number of derivative securities in column 5 also includes 1,488 vested RSU dividend equivalent rights and a de minimus adjustment of 0.7057 due to fractional rounding of the dividend.
4. As previously reported, on 12/10/19 the reporting person was granted 37,879 RSUs, 12,626 of which vested on 12/10/20, 12,188 of which vested on 12/10/21, and 12,189 of which will vest on 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 includes 242.9601 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, 183.9774 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21, 202.5789 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 198.8606 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21.
5. The number of derivative securities in column 5 also includes 983 vested RSU dividend equivalent rights and a de minimus adjustment of 0.6230 due to fractional rounding of the dividend.
6. As previously reported, on 12/10/20 the reporting person was granted 53,630 RSUs, 17,876 of which vested on 12/10/21, and 17,877 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. The number of derivative securities in column 5 includes 534.5183 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, 404.7547 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21, 445.6787 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 437.4983 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21.
7. The number of derivative securities in column 5 also includes 609 vested RSU dividend equivalent rights and a de minimus adjustment of 0.5500 due to fractional rounding of the dividend.
8. On 12/09/21 the reporting person was granted 48,765 RSUs, 16,255 of which will vest on each of 12/09/22, 12/09/23 and 12/09/24. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.
Derek Windham as Attorney-in-Fact for Jeff T. Ricci 12/13/2021
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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