Statement of Changes in Beneficial Ownership (4)
June 09 2022 - 7:02PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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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
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Black Thomas E Jr |
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) EVP, GM, Storage |
(Last)
(First)
(Middle)
C/O HEWLETT PACKARD ENTERPRISE COMPANY, 1701 E MOSSY OAKS ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/7/2022 |
(Street)
SPRING, TX 77389
(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 | 6/7/2022 | | M | | 11348 | A | $12.36 | 11348 | D | |
Common Stock | 6/7/2022 | | S | | 11348 | D | $15.2601 (1) | 0 | D | |
Common Stock | 6/7/2022 | | M | | 16999 | A | $8.83 | 16999 | D | |
Common Stock | 6/7/2022 | | S | | 16999 | D | $15.2601 (1) | 0 | 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 |
Employee Stock Option (right to buy) | $12.36 | 6/7/2022 | | M | | | 11348 | 9/17/2015 (2) | 12/10/2022 (3) | Common Stock | 11348 | $0 | 0 | D | |
Employee Stock Option (right to buy) | $8.83 | 6/7/2022 | | M | | | 16999 | 12/9/2016 (2) | 12/9/2023 (3) | Common Stock | 16999 | $0 | 0 | D | |
Restricted Stock Units | (4) | 1/7/2022 | | A | | 243.4118 (5) | | (5) | (5) | Common Stock | 243.4118 | (5) | 18407.4118 | D | |
Restricted Stock Units | (4) | 1/7/2022 | | A | | 596.4779 (6) | | (6) | (6) | Common Stock | 596.4779 | (6) | 43251.4779 | D | |
Restricted Stock Units | (4) | 1/7/2022 | | A | | 1410.1396 (7) | | (7) | (7) | Common Stock | 1410.1396 | (7) | 98939.1396 | D | |
Explanation of Responses: |
(1) | The price in Column 4 is a weighted average price. The prices actually paid ranged from $15.260-$15.2650. 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. |
(2) | This option became exercisable beginning on this date and is fully vested. |
(3) | This option is no longer exercisable beginning on this date. |
(4) | Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. |
(5) | As previously reported, on 12/10/19, the reporting person was granted 50,505 Restricted Stock Units ("RSUs"), 16,835 of which vested on 12/10/20, and 16,835 of which vested on 12/10/21, and 16,835 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 117.9335 dividend equivalent rights at $17.130 per RSU credited to the reporting person's account on 01/07/22, and 125.4783 dividend equivalent rights at $16.100 per RSU credited to the reporting person's account on 04/08/22. |
(6) | As previously reported, on 12/10/20 the reporting person was granted 61,881 RSUs, 20,627 of which vested on 12/10/21, and 20,627 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 288.9947 dividend equivalent rights at $17.130 per RSU credited to the reporting person's account on 01/07/22, and 307.4832 dividend equivalent rights at $16.100 per RSU credited to the reporting person's account on 04/08/22. |
(7) | As previously reported, 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. The number of derivative securities in column 5 includes 683.2154 dividend equivalent rights at $17.130 per RSU credited to the reporting person's account on 01/07/22, and 726.9242 dividend equivalent rights at $16.100 per RSU credited to the reporting person's account on 04/08/22. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Black Thomas E Jr C/O HEWLETT PACKARD ENTERPRISE COMPANY 1701 E MOSSY OAKS ROAD SPRING, TX 77389 |
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| EVP, GM, Storage |
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Signatures
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Derek Windham as Attorney-in-Fact for Thomas E Black Jr | | 6/9/2022 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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