Statement of Changes in Beneficial Ownership (4)
October 31 2022 - 4:53PM
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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ROBBIATI TAREK |
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) EVP & CFO |
(Last)
(First)
(Middle)
C/O HEWLETT PACKARD ENTERPRISE COMPANY, 1701 E MOSSY OAKS ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/28/2022 |
(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 | | | | | | | | 0 (1) | D | |
Common Stock | 10/28/2022 | | S | | 80421 (3) | D | $14.2826 (4) | 133321 (2) | I | by The Robbiati Family Trust dated 02/04/20 |
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 | (5) | 10/7/2022 | | A | | 405.1493 (6) | | (6) | (6) | Common Stock | 405.1493 | (6) | 48072.1493 | D | |
Restricted Stock Units | (5) | 10/7/2022 | | A | | 405.3419 (7) | | (7) | (7) | Common Stock | 405.3419 | (7) | 46806.7867 | D | |
Restricted Stock Units | (5) | 10/7/2022 | | A | | 1172.0706 (8) | | (8) | (8) | Common Stock | 1172.0706 | (8) | 129873.8931 | D | |
Restricted Stock Units | (5) | 10/7/2022 | | A | | 1125.1011 (9) | | (9) | (9) | Common Stock | 1125.1011 | (9) | 123505.0387 | D | |
Restricted Stock Units | (5) | 10/7/2022 | | A | | 1878.5778 (10) | | (10) | (10) | Common Stock | 1878.5778 | (10) | 201532.4795 | D | |
Explanation of Responses: |
(1) | The total direct beneficial ownership reflects a decrease of 31,183 shares due to the transfer into the Robbiati Family Trust dated 02/04/20 on 10/10/22. |
(2) | The total indirect beneficial ownership reflects an increase of 31,183 shares due to the transfer of the shares previously reported as being held directly by the reporting person into the Robbiati Family Trust dated 02/04/20 on 10/10/22. |
(3) | The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 09/01/22 as Trustee of The Robbiati Family Trust dated 02/04/20 (a revocable grantor trust). |
(4) | The price in Column 4 is a weighted average price. The prices actually paid ranged from $14.25 to $14.370349. 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. |
(5) | Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. |
(6) | As previously reported, on 09/19/18, the reporting person was granted 210,337 Restricted Stock Units ("RSUs"), 42,067 of which vested on 09/19/19, 42,067 of which vested on 09/19/20, 42,068 of which vested on 09/19/21, 42,067 of which vested on 09/19/22, and 42,068 of which will vest on 09/19/23. 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 405.1493 dividend equivalent rights at $12.46 per RSU credited to the reporting person's account on 10/07/22. |
(7) | As previously reported, on 12/10/19 the reporting person was granted 126,263 RSUs, 42,087 of which vested on 12/10/20, 42,088 of which vested on 12/10/21, and 42,088 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 405.3419 dividend equivalent rights at $12.46 per RSU credited to the reporting person's account on 10/07/22. |
(8) | As previously reported, on 12/10/20 the reporting person was granted 182,550 RSUs, 60,850 of which vested on 12/10/21, and 60,850 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 1,172.0706 dividend equivalent rights at $12.46 per RSU credited to the reporting person's account on 10/07/22. |
(9) | As previously reported, on 03/15/21 the reporting person was granted 233,645 RSUs, 116,822 of which vested on 12/15/21 and 116,823 of which will vest on 12/15/22. 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 1,125.1011 dividend equivalent rights at $12.46 per RSU credited to the reporting person's account on 10/07/22. |
(10) | As previously reported, on 12/09/21 the reporting person was granted 195,059 RSUs, 65,019 of which will vest on 12/09/22, and 65,020 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 1,878.5778 dividend equivalent rights at $12.46 per RSU credited to the reporting person's account on 10/07/22. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
ROBBIATI TAREK C/O HEWLETT PACKARD ENTERPRISE COMPANY 1701 E MOSSY OAKS ROAD SPRING, TX 77389 |
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| EVP & CFO |
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Signatures
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Ki Hoon Kim as Attorney-in-Fact for Tarek Robbiati | | 10/31/2022 |
**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. |
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