Statement of Changes in Beneficial Ownership (4)
December 14 2020 - 6:36PM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
SCHULTZ JOHN F |
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) EVP, COLO & SEC |
(Last)
(First)
(Middle)
C/O HEWLETT PACKARD ENTERPRISE COMPANY, 11445 COMPAQ CENTER DRIVE WEST |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/10/2020 |
(Street)
HOUSTON, TX 77070
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
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. 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 | 12/10/2020 | | M | | 39987 | A | $12.12 | 551522.0693 (1) | D | |
Common Stock | 12/10/2020 | | F | | 19827 | D | $12.12 | 531695.0693 | D | |
Common Stock | 12/10/2020 | | M | | 38483 | A | $12.12 | 570178.0693 | D | |
Common Stock | 12/10/2020 | | F | | 19081 | D | $12.12 | 551097.0693 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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) | 12/10/2020 | | M | | | 39987 (3) | (3) | (3) | Common Stock | 39987 | (3) | 39986 | D | |
Restricted Stock Units | (2) | 12/10/2020 | | M | | | 38483 (4) | (4) | (4) | Common Stock | 38483 | (4) | 76966 | D | |
Restricted Stock Units | (2) | 12/10/2020 | | A | | 178424 (5) | | (5) | (5) | Common Stock | 178424 | (5) | 178424 | D | |
Explanation of Responses: |
(1) | To clarify, the total beneficial ownership in Column 5 reflects an adjustment of 26,535 shares in connection with the 12/07/20 vesting of the reporting person's performance adjusted restricted stock units previously reported as 3,791 instead of 23,791 shares withheld for taxes, and 18,918 instead of 25,453 shares withheld for taxes, thereby reducing the beneficial holdings from 538,070.0693 to 511,535.0693. |
(2) | Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. |
(3) | As previously reported, on 12/10/18 the reporting person was granted 111,531 Restricted Stock Units ("RSUs"), 37,177 of which vested on each of 12/10/19 and 12/10/20, and 37,177 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 also includes 2,810 vested dividend equivalent rights and a de minimus adjustment of 0.4050 due to fractional rounding of the dividend equivalent rights. |
(4) | As previously reported, on 12/10/19 the reporting person was granted 110,480 RSUs, 36,826 of which vested on 12/10/20, and 36,827 of which will vest on each of 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. The number of derivative securities in column 5 also includes 1,657 vested dividend equivalent rights and a de minimus adjustment of 0.8694 due to fractional rounding of the dividend equivalent rights. |
(5) | On 12/10/20 the reporting person was granted 178,424 RSUs, 59,474 of which will vest on 12/10/21, and 59,475 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. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
SCHULTZ JOHN F C/O HEWLETT PACKARD ENTERPRISE COMPANY 11445 COMPAQ CENTER DRIVE WEST HOUSTON, TX 77070 |
|
| EVP, COLO & SEC |
|
Signatures
|
Derek Windham as Attorney-in-Fact for John F. Schultz | | 12/14/2020 |
**Signature of Reporting Person | Date |
Hewlett Packard Enterprise (NYSE:HPE)
Historical Stock Chart
From Aug 2024 to Sep 2024
Hewlett Packard Enterprise (NYSE:HPE)
Historical Stock Chart
From Sep 2023 to Sep 2024