Statement of Changes in Beneficial Ownership (4)
16 April 2021 - 7:49AM
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
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RUSSO PATRICIA 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)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O HEWLETT PACKARD ENTERPRISE COMPANY, 11445 COMPAQ CENTER DRIVE WEST |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/13/2021 |
(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 | | | | | | | | 15318 (1) | D | |
Common Stock | 4/13/2021 | | A | | 2393 (2) | A | $15.67 | 185110 (3)(4) | I | By Merrill Lynch |
Common Stock | 4/14/2021 | | M | | 24745 | A | $0 | 209855 (3) | I | By Merrill Lynch |
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 |
Common Stock | (5) | 4/14/2021 | | M | | | 24745 (6)(7) | (6) | (6) | Common Stock | 24745 | (6) | 0 | D | |
Explanation of Responses: |
(1) | There is no reportable change since the last filing. This is a reiteration of holdings only. |
(2) | These shares were issued to the reporting person pursuant to the Issuer's 2015 Stock Incentive Plan in lieu of Q4 cash retainer of $37,500 for Issuer's Board Year 2020. |
(3) | The reporting person elected to defer the receipt of common stock until the termination of her service as a member of the Issuer's Board of Directors. |
(4) | The number of shares in column 5 includes 1,616.2127 vested restricted stock unit ("RSU") dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, and 1,223.8489 vested RSU dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21. |
(5) | Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. |
(6) | As previously reported, on 05/01/20, the reporting person was granted 23,735 restricted stock units ("RSUs"), all of which cliff vested on the date of the Issuer's 2021 Annual Stockholders Meeting. 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 236.5615 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, and 179.1321 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21. |
(7) | The number of shares in column 5 includes 1,010 vested RSU dividend equivalent rights and a de minimus adjustment of 0.4246 due to fractional rounding of the dividend equivalent rights at $15.78 per RSU credited to the reporting person's account on 04/14/21. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
RUSSO PATRICIA F C/O HEWLETT PACKARD ENTERPRISE COMPANY 11445 COMPAQ CENTER DRIVE WEST HOUSTON, TX 77070 | X |
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Signatures
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Derek Windham as Attorney-in-Fact for Patricia F. Russo | | 4/15/2021 |
**Signature of Reporting Person | Date |
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