Statement of Changes in Beneficial Ownership (4)
December 13 2021 - 5:46PM
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
*
Neri Antonio F |
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) President and CEO |
(Last)
(First)
(Middle)
C/O HEWLETT PACKARD ENTERPRISE COMPANY, 11445 COMPAQ CENTER DRIVE WEST |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/9/2021 |
(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 | 12/9/2021 | | A | | 206123 (1) | A | $15.38 | 600163 | D | |
Common Stock | 12/9/2021 | | F | | 93938 | D | $15.38 | 506225 | D | |
Common Stock | 12/9/2021 | | A | | 146449 (2) | A | $15.38 | 652674 | D | |
Common Stock | 12/9/2021 | | F | | 65363 | D | $15.38 | 587311 | D | |
Common Stock | 12/10/2021 | | M | | 116106 | A | $15.21 | 703417 | D | |
Common Stock | 12/10/2021 | | F | | 53495 | D | $15.21 | 649922 | D | |
Common Stock | 12/10/2021 | | M | | 12720 | A | $15.21 | 662642 | D | |
Common Stock | 12/10/2021 | | F | | 5861 | D | $15.21 | 656781 | D | |
Common Stock | 12/10/2021 | | M | | 113110 | A | $15.21 | 769891 | D | |
Common Stock | 12/10/2021 | | F | | 50140 | D | $15.21 | 719751 | D | |
Common Stock | 12/10/2021 | | M | | 8931 | A | $15.21 | 728682 | D | |
Common Stock | 12/10/2021 | | F | | 3959 | D | $15.21 | 724723 | D | |
Common Stock | 12/10/2021 | | M | | 171892 | A | $15.21 | 896615 | D | |
Common Stock | 12/10/2021 | | F | | 67640 | D | $15.21 | 828975 | D | |
Common Stock | 12/10/2021 | | M | | 5842 | A | $15.21 | 834817 | D | |
Common Stock | 12/10/2021 | | F | | 2299 | D | $15.21 | 832518 | 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) | 12/10/2021 | | M | | | 116106 (4) | (4) | (4) | Common Stock | 116106 | (4) | 0 | D | |
Restricted Stock Units | (3) | 12/10/2021 | | M | | | 113110 (5) | (5) | (5) | Common Stock | 113110 | (5) | 122040 | D | |
Restricted Stock Units | (3) | 12/10/2021 | | M | | | 171892 (6) | (6) | (6) | Common Stock | 171892 | (6) | 355467 | D | |
Restricted Stock Units | (3) | 12/9/2021 | | A | | 422627 (7) | | (7) | (7) | Common Stock | 422627 | (7) | 422627 | D | |
Explanation of Responses: |
(1) | As previously reported, on 12/10/18 the reporting person was granted performance adjusted restricted stock units ("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. |
(2) | On 12/10/19 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) | 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 348,318 Restricted Stock Units ("RSUs"), 116,106 of which vested on each of 12/10/19 and 12/10/20, and 116,106 of which vested 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 12,720 vested RSU dividend equivalent rights and a de minimus adjustment of 0.4960 due to fractional rounding of the dividend. |
(5) | As previously reported, on 12/10/19 the reporting person was granted 339,331 RSUs, 113,110 of which vested on 12/10/20, 113,110 of which vested on 12/10/21, and 113,111 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 also includes 8,931 vested RSU dividend equivalent rights and a de minimus adjustment of 0.5778 due to fractional rounding of the dividend. |
(6) | As previously reported, on 12/10/20 the reporting person was granted 515,677 RSUs, 171,892 of which vested on 12/10/21, 171,892 of which will vest on 12/10/22, and 171,893 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 also includes 5,842 vested RSU dividend equivalent rights and a de minimus adjustment of 0.3094 due to fractional rounding of the dividend. |
(7) | On 12/09/21 the reporting person was granted 422,627 RSUs, 140,875 of which will vest on 12/09/22, and 140,876 of which will vest on each of 12/09/23 and 12/09/24. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Neri Antonio F C/O HEWLETT PACKARD ENTERPRISE COMPANY 11445 COMPAQ CENTER DRIVE WEST HOUSTON, TX 77070 |
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| President and CEO |
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Signatures
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Derek Windham as Attorney-in-Fact for Antonio F. Neri | | 12/13/2021 |
**Signature of Reporting Person | Date |
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