Statement of Changes in Beneficial Ownership (4)
October 21 2021 - 6:57PM
Edgar (US Regulatory)
FORM 4
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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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
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Hotard Justin |
2. Issuer Name and Ticker or Trading Symbol
Hewlett Packard Enterprise Co
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HPE
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) SVP, GM, HPC and MCS |
(Last)
(First)
(Middle)
C/O HEWLETT PACKARD ENTERPRISE COMPANY, 11445 COMPAQ CENTER DRIVE WEST |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/19/2021 |
(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
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 10/19/2021 | | M | | 38 | A | $15.37 | 38 | D | |
Common Stock | 10/19/2021 | | F | | 13 | D | $15.37 | 25 | D | |
Common Stock | 10/19/2021 | | M | | 17966 | A | $15.37 | 17991 | D | |
Common Stock | 10/19/2021 | | F | | 5705 | D | $15.37 | 12286 | D | |
Common Stock | 10/21/2021 | | S | | 12286 (1) | D | $15.41 | 0 | D | |
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 |
Restricted Stock Units | (2) | 10/19/2021 | | M | | | 38 (3) | (3) | (3) | Common Stock | 38 | (3) | 0 | D | |
Restricted Stock Units | (2) | 10/19/2021 | | M | | | 17966 (4) | (4) | (4) | Common Stock | 17966 | (4) | 0 | D | |
Restricted Stock Units | (2) | 7/7/2021 | | A | | 357.91 (5) | | (5) | (5) | Common Stock | 357.91 | (5) | 24114.5629 | D | |
Restricted Stock Units | (2) | 7/7/2021 | | A | | 589.14 (6) | | (6) | (6) | Common Stock | 589.14 | (6) | 38598.703 | D | |
Restricted Stock Units | (2) | 7/7/2021 | | A | | 883.18 (7) | | (7) | (7) | Common Stock | 883.18 | (7) | 55452.45 | D | |
Restricted Stock Units | (2) | 7/7/2021 | | A | | 965.37 (8) | | (8) | (8) | Common Stock | 965.37 | (8) | 60028.7912 | D | |
Explanation of Responses: |
(1) | The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 03/09/21 and amended on 06/03/21. |
(2) | Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. |
(3) | As previously reported, on 10/19/18, the reporting person was granted 100 restricted stock units ("RSUs"), 32 of which vested on 10/19/19, 34 of which vested on 10/19/20, and 34 of which vested on 10/19/21. 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 0.2825 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 0.2774 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21. The number of shares in column 5 also includes 4 vested RSU dividend equivalent rights and a de minimus adjustment of 0.8446 due to fractional rounding of the dividend equivalent rights at $15.37 per RSU credited to the reporting person's account on 10/19/21. |
(4) | As previously reported, on 10/19/18, the reporting person was granted 48,575 RSUs, 16,191 of which vested on 10/19/19, 16,192 of which vested on 10/19/20, and 16,192 of which vested on 10/19/21. 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 134.5596 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 132.0897 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21. The number of shares in column 5 also includes 1,774 vested RSU dividend equivalent rights and a de minimus adjustment of 0.7648 due to fractional rounding of the dividend equivalent rights at $15.37 per RSU credited to the reporting person's account on 10/19/21. |
(5) | As previously reported, on 12/10/18, the reporting person was granted 65,202 RSUs, 21,734 of which vested on each of 12/10/19 and 12/10/20, and 21,734 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 includes 180.6150 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 177.2998 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21. |
(6) | As previously reported, on 12/10/19, the reporting person was granted 53,662 RSUs, 17,887 of which vested on 12/10/20, 17,887 of which will vest on 12/10/21, and 17,888 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 297.2992 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 291.8423 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21. |
(7) | As previously reported, on 12/10/20, the reporting person was granted 53,630 RSUs, 17,876 of which will vest 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 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. |
(8) | As previously reported, on 03/02/21, the reporting person was granted 58,621 Restricted Stock Units ("RSUs"), 19,540 of which will vest on each of 03/02/22 and 03/02/23, and 19,541 of which will vest on 03/02/24. 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 487.1551 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 478.2135 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Hotard Justin C/O HEWLETT PACKARD ENTERPRISE COMPANY 11445 COMPAQ CENTER DRIVE WEST HOUSTON, TX 77070 |
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| SVP, GM, HPC and MCS |
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Signatures
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Derek Windham as Attorney-in-Fact for Justin Hotard | | 10/21/2021 |
**Signature of Reporting Person | Date |
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