Statement of Changes in Beneficial Ownership (4)
December 13 2021 - 5:49PM
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
*
Ricci Jeff T |
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) SVP, Controller & PAO |
(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)
|
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 | 12/10/2021 | | M | | 13251 | A | $15.21 | 13251 | D | |
Common Stock | 12/10/2021 | | F | | 4271 | D | $15.21 | 8980 | D | |
Common Stock | 12/10/2021 | | M | | 1488 | A | $15.21 | 10468 | D | |
Common Stock | 12/10/2021 | | F | | 515 | D | $15.21 | 9953 | D | |
Common Stock | 12/10/2021 | | M | | 12188 | A | $15.21 | 22141 | D | |
Common Stock | 12/10/2021 | | F | | 3929 | D | $15.21 | 18212 | D | |
Common Stock | 12/10/2021 | | M | | 983 | A | $15.21 | 19195 | D | |
Common Stock | 12/10/2021 | | F | | 340 | D | $15.21 | 18855 | D | |
Common Stock | 12/10/2021 | | M | | 17876 | A | $15.21 | 36731 | D | |
Common Stock | 12/10/2021 | | F | | 6182 | D | $15.21 | 30549 | D | |
Common Stock | 12/10/2021 | | M | | 609 | A | $15.21 | 31158 | D | |
Common Stock | 12/10/2021 | | F | | 211 | D | $15.21 | 30947 | 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 | (1) | 12/10/2021 | | M | | | 13251 (2)(3) | (2) | (2) | Common Stock | 13251 | (2) | 0 | D | |
Restricted Stock Units | (1) | 12/10/2021 | | M | | | 12188 (4)(5) | (4) | (4) | Common Stock | 12188 | (4) | 13170 | D | |
Restricted Stock Units | (1) | 12/10/2021 | | M | | | 17876 (6)(7) | (6) | (6) | Common Stock | 17876 | (6) | 36968 | D | |
Restricted Stock Units | (1) | 12/9/2021 | | A | | 48765 (8) | | (8) | (8) | Common Stock | 48765 | (8) | 48765 | D | |
Explanation of Responses: |
(1) | Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. |
(2) | As previously reported, on 12/10/18 the reporting person was granted 41,181 Restricted Stock Units ("RSUs"), 13,727 of which vested on each of 12/10/19 and 12/10/20, and 13,251 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 includes 132.0698 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, 100.0075 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21, 110.1191 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 108.0979 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21. |
(3) | The number of derivative securities in column 5 also includes 1,488 vested RSU dividend equivalent rights and a de minimus adjustment of 0.7057 due to fractional rounding of the dividend. |
(4) | As previously reported, on 12/10/19 the reporting person was granted 37,879 RSUs, 12,626 of which vested on 12/10/20, 12,188 of which vested on 12/10/21, and 12,189 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 242.9601 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, 183.9774 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21, 202.5789 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 198.8606 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21. |
(5) | The number of derivative securities in column 5 also includes 983 vested RSU dividend equivalent rights and a de minimus adjustment of 0.6230 due to fractional rounding of the dividend. |
(6) | As previously reported, on 12/10/20 the reporting person was granted 53,630 RSUs, 17,876 of which vested 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 534.5183 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, 404.7547 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21, 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. |
(7) | The number of derivative securities in column 5 also includes 609 vested RSU dividend equivalent rights and a de minimus adjustment of 0.5500 due to fractional rounding of the dividend. |
(8) | On 12/09/21 the reporting person was granted 48,765 RSUs, 16,255 of which will vest on each of 12/09/22, 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
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Ricci Jeff T C/O HEWLETT PACKARD ENTERPRISE COMPANY 11445 COMPAQ CENTER DRIVE WEST HOUSTON, TX 77070 |
|
| SVP, Controller & PAO |
|
Signatures
|
Derek Windham as Attorney-in-Fact for Jeff T. Ricci | | 12/13/2021 |
**Signature of Reporting Person | Date |
Hewlett Packard Enterprise (NYSE:HPE)
Historical Stock Chart
From Jun 2024 to Jul 2024
Hewlett Packard Enterprise (NYSE:HPE)
Historical Stock Chart
From Jul 2023 to Jul 2024