Statement of Changes in Beneficial Ownership (4)
June 03 2021 - 6:22PM
Edgar (US Regulatory)
FORM 4
[X]
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
*
Melkote Keerti |
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) President Intelligent Edge |
(Last)
(First)
(Middle)
C/O HEWLETT PACKARD COMPANY, 11445 COMPAQ CENTER DRIVE WEST |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/1/2021 |
(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 | 6/1/2021 | | S | | 37918 (1) | D | $16.0751 (2) | 75837 | 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 | (3) | 1/6/2021 | | A | | 651.116 (4) | | (4) | (4) | Common Stock | 651.116 | (4) | 40637.116 | D | |
Restricted Stock Units | (3) | 1/6/2021 | | A | | 1197.8138 (5) | | (5) | (5) | Common Stock | 1197.8138 | (5) | 72664.8138 | D | |
Restricted Stock Units | (3) | 1/6/2021 | | A | | 2564.9526 (6) | | (6) | (6) | Common Stock | 2564.9526 | (6) | 149016.952 | 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 03/08/21. |
(2) | The price in Column 4 is a weighted average price. The prices actually paid ranged from $15.94 to $16.155. 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. |
(3) | Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. |
(4) | 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 includes 370.5349 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, and 280.5811 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21. |
(5) | As previously reported, on 12/10/19 the reporting person was granted 102,588 RSUs, 34,196 of which vested on 12/10/20, and 34,196 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 includes 681.6478 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, and 516.1660 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21. |
(6) | On 12/10/20 the reporting person was granted 146,452 RSUs, 48,817 of which will vest on each of 12/10/21 and 12/10/22, and 48,818 of which will vest on 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 1,459.6545 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, and 1,105.2981 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Melkote Keerti C/O HEWLETT PACKARD COMPANY 11445 COMPAQ CENTER DRIVE WEST HOUSTON, TX 77070 |
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| President Intelligent Edge |
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Signatures
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Derek Windham as Attorney-in-Fact for Keerti Melkote | | 6/3/2021 |
**Signature of Reporting Person | Date |
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