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*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Hewlett Packard Enterprise Co [ HPE ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 12/07/2020 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 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 | 12/07/2020 | M | 77,311 | A | $12.08 | 77,311 | D | |||
Common Stock | 12/07/2020 | F | 26,736 | D | $12.08 | 50,575 | D | |||
Common Stock | 12/07/2020 | A | 47,984(2) | A | $12.08 | 98,559 | D | |||
Common Stock | 12/07/2020 | F | 22,980 | D | $12.08 | 75,579 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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) | 12/07/2020 | M | 77,311(3) | (3) | (3) | Common Stock | 77,311 | (3) | 0 | D | ||||
Restricted Stock Units | (1) | 01/02/2020 | A | 3,343.595(4) | (4) | (4) | Common Stock | 3,343.595 | (4) | 79,972.595 | D | ||||
Restricted Stock Units | (1) | 01/02/2020 | A | 4,613.2384(5) | (5) | (5) | Common Stock | 4,613.2384 | (5) | 107,201.238 | 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. |
Remarks: |
Derek Windham as Attorney-in-Fact for Keerti Melkote | 12/09/2020 | |
** 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |