Statement of Changes in Beneficial Ownership (4)
February 25 2019 - 5:10PM
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).
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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
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2. Issuer Name
and
Ticker or Trading Symbol
Hewlett Packard Enterprise Co
[
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)
EVP, CLAA & SEC
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(Last)
(First)
(Middle)
C/O HEWLETT PACKARD ENTERPRISE COMPANY, 6280 AMERICA CENTER DRIVE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
2/21/2019
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(Street)
SAN JOSE, CA 95002
(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
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2/21/2019
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M
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68798
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A
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$8.92
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400400.888
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D
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Common Stock
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2/21/2019
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S
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68798
(1)
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D
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$16.2591
(2)
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331602.888
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D
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Common Stock
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2/21/2019
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M
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249754
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A
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$8.62
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581356.888
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D
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Common Stock
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2/21/2019
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S
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249754
(1)
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D
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$16.2591
(2)
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331602.888
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D
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Common Stock
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2/21/2019
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M
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159457
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A
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$8.83
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491059.888
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D
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Common Stock
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2/21/2019
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S
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159457
(1)
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D
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$16.2591
(2)
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331602.888
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D
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Common Stock
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2/21/2019
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M
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111816
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A
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$14.67
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443418.888
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D
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Common Stock
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2/21/2019
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S
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111816
(1)
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D
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$16.2591
(2)
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331602.888
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D
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Common Stock
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2/22/2019
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M
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33797
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A
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$8.92
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365399.888
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D
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Common Stock
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2/22/2019
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S
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33797
(1)
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D
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$16.50
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331602.888
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D
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Common Stock
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2/22/2019
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M
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52590
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A
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$8.62
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384192.888
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D
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Common Stock
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2/22/2019
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S
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52590
(1)
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D
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$16.50
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331602.888
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D
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Common Stock
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2/22/2019
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M
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36048
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A
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$8.83
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367650.888
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D
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Common Stock
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2/22/2019
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S
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36048
(1)
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D
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$16.50
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331602.888
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D
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Common Stock
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2/22/2019
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M
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34393
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A
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$14.67
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365995.888
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D
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Common Stock
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2/22/2019
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S
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34393
(1)
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D
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$16.50
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331602.888
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D
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Common Stock
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2/22/2019
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S
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34177
(1)
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D
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$16.50
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297425.888
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Restricted Stock Units
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(3)
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1/2/2019
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A
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261.2156
(4)
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(4)
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(4)
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Common Stock
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261.2156
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(4)
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32714.2156
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D
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Restricted Stock Units
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(3)
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1/2/2019
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A
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783.6971
(5)
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(5)
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(5)
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Common Stock
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783.6971
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(5)
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96778.6971
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D
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Restricted Stock Units
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(3)
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1/2/2019
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A
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932.187
(6)
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(6)
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(6)
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Common Stock
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932.187
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(6)
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112463.187
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D
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Employee Stock Option (Right to Buy)
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$8.92
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2/21/2019
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M
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68798
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12/11/2014
(7)
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12/11/2021
(8)
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Common Stock
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68798
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$0
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68799
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D
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Employee Stock Option (Right to Buy)
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$8.62
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2/21/2019
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M
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249754
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11/2/2016
(7)
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11/2/2023
(8)
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Common Stock
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249754
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$0
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249754
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D
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Employee Stock Option (Right to Buy)
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$8.83
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2/21/2019
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M
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159457
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12/9/2016
(7)
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12/9/2023
(8)
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Common Stock
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159457
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$0
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159457
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D
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Employee Stock Option (Right to Buy)
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$14.67
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2/21/2019
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M
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111816
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12/7/2017
(7)
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12/7/2024
(8)
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Common Stock
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111816
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$0
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223632
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D
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Employee Stock Option (Right to Buy)
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$8.92
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2/22/2019
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M
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33797
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12/11/2014
(7)
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12/11/2021
(8)
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Common Stock
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33797
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$0
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35002
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D
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Employee Stock Option (Right to Buy)
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$8.62
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2/22/2019
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M
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52590
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11/2/2016
(7)
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11/2/2023
(8)
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Common Stock
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52590
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$0
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197164
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D
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Employee Stock Option (Right to Buy)
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$8.83
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2/22/2019
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M
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36048
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12/9/2016
(7)
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12/9/2023
(8)
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Common Stock
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36048
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$0
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123409
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D
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Employee Stock Option (Right to Buy)
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$14.67
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2/22/2019
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M
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34393
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12/7/2017
(7)
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12/7/2024
(8)
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Common Stock
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34393
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$0
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189239
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D
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Explanation of Responses:
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(1)
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The sale reported on this Form 4 was effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 12/18/18.
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(2)
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The price in Column 4 is a weighted average price. The prices actually paid ranged from $16.25 to $16.29. Upon request, the reporting person will provide to the Issuer, any security holder of the Issuer, or the SEC staff information regarding the number of shares purchased at each price within the range.
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(3)
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Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
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(4)
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As previously reported, on 12/07/16 the reporting person was granted 55,713 Restricted Stock Units ("RSUs"), 31,251 of which vested on 12/07/17, 31,253 of which vested on 12/07/18, and 31,253 of which will vest on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 261.2156 dividend equivalent rights at $13.46 per RSU credited to the reporting person's account on 01/02/19. RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.
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(5)
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As previously reported, on 12/07/17 the reporting person was granted 140,647 RSUs, 46,882 of which vested on 12/07/18, 46,882 of which will vest on 12/07/19, and 46,883 of which will vest 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 783.6971 dividend equivalent rights at $13.46 per RSU credited to the reporting person's account on 01/02/19.
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(6)
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As previously reported, on 12/10/18 the reporting person was granted 111,531 RSUs, 37,177 of which will vest on each of 12/10/19, 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 932.1870 dividend equivalent rights at $13.46 per RSU credited to the reporting person's account on 01/02/19.
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(7)
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This option became exercisable beginning on this date.
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(8)
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This option is no longer exercisable beginning on this date.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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SCHULTZ JOHN F
C/O HEWLETT PACKARD ENTERPRISE COMPANY
6280 AMERICA CENTER DRIVE
SAN JOSE, CA 95002
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EVP, CLAA & SEC
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Signatures
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Derek Windham as Attorney-in-Fact for John F. Schultz
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2/25/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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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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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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 control number.
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