Statement of Changes in Beneficial Ownership (4)
December 13 2021 - 5:50PM
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
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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
*
Mottram Phil |
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, Intelligent Edge |
(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 | 12/10/2021 | | M | | 5261 | A | $15.21 | 14059 | D | |
Common Stock | 12/10/2021 | | F | | 1820 | D | $15.21 | 12239 | D | |
Common Stock | 12/10/2021 | | M | | 416 | A | $15.21 | 12655 | D | |
Common Stock | 12/10/2021 | | F | | 144 | D | $15.21 | 12511 | D | |
Common Stock | 12/10/2021 | | M | | 16501 | A | $15.21 | 29012 | D | |
Common Stock | 12/10/2021 | | F | | 5707 | D | $15.21 | 23305 | D | |
Common Stock | 12/10/2021 | | M | | 562 | A | $15.21 | 23867 | D | |
Common Stock | 12/10/2021 | | F | | 195 | D | $15.21 | 23672 | 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 | (1) | 7/7/2021 | | A | | 86.57 (2) | | (2) | (2) | Common Stock | 86.57 | (2) | 5750.5721 | D | |
Restricted Stock Units | (1) | 12/10/2021 | | M | | | 5261 (3) | (3) | (3) | Common Stock | 5261 | (3) | 5675 | D | |
Restricted Stock Units | (1) | 12/10/2021 | | M | | | 16501 (4) | (4) | (4) | Common Stock | 16501 | (4) | 34125 | D | |
Restricted Stock Units | (1) | 7/7/2021 | | A | | 773.86 (5) | | (5) | (5) | Common Stock | 773.86 | (5) | 47765.8626 | D | |
Restricted Stock Units | (1) | 12/9/2021 | | A | | 97529 (6) | | (6) | (6) | Common Stock | 97529 | (6) | 97529 | 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 05/09/19, the reporting person was granted 15,769 Restricted Stock Units ("RSUs"), 5,256 of which vested on 05/09/20, 5,256 of which vested on 05/09/21, and 5,257 of which will vest on 05/09/22. 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 43.6870 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 42.8851 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21. |
(3) | As previously reported, on 12/10/19, the reporting person was granted 15,783 RSUs, 5,261 of which vested on 12/10/20, and 5,261 of which vested on 12/10/21, and 5,261 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 87.4404 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 85.8355 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21. The number of derivative securities in column 5 also includes 416 vested RSU dividend equivalent rights and a de minimus adjustment of 0.4424 due to fractional rounding of the dividend. |
(4) | As previously reported, on 12/10/20, the reporting person was granted 49,505 RSUs, 16,501 of which vested on 12/10/21, and 16,502 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 411.3989 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 403.8477 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21. The number of derivative securities in column 5 also includes 562 vested RSU dividend equivalent rights and a de minimus adjustment of 0.7255 due to fractional rounding of the dividend. |
(5) | As previously reported, on 05/28/21, the reporting person was granted 46,992 RSUs, 15,664 of which will vest on each of 05/28/22, 05/28/23 and 05/28/24. 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 390.5152 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 383.3474 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21. |
(6) | On 12/09/21 the reporting person was granted 97,529 RSUs, 32,509 of which will vest on 12/09/22, and 32,510 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 |
Mottram Phil C/O HEWLETT PACKARD ENTERPRISE 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 Attorney-in-Fact for Philip J. Mottram | | 12/13/2021 |
**Signature of Reporting Person | Date |
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