Statement of Changes in Beneficial Ownership (4)
23 September 2020 - 7:02AM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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, 6280 AMERICA CENTER DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/19/2020 |
(Street)
SAN JOSE, CA 95002
(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 | 9/19/2020 | | M | | 44731 | A | $9.50 | 44731 (1) | D | |
Common Stock | 9/19/2020 | | F | | 15469 | D | $9.50 | 29262 | D | |
Common Stock | | | | | | | | 48952 (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 | (3) | 9/19/2020 | | M | | | 44731 (4) | (4) | (4) | Common Stock | 44731 | (4) | 134189 | D | |
Restricted Stock Units | (3) | 1/2/2020 | | A | | 2617.3068 (5) | | (5) | (5) | Common Stock | 2617.3068 | (5) | 85141.3068 | D | |
Restricted Stock Units | (3) | 1/2/2020 | | A | | 4127.0451 (6) | | (6) | (6) | Common Stock | 4127.0451 | (6) | 130390.045 | D | |
Explanation of Responses: |
(1) | The total direct beneficial ownership reflects a decrease of 48,952 shares due to the transfer of 48,952 shares into the Robbiati Family Trust dated 02/04/20 on 09/11/20. |
(2) | The total indirect beneficial ownership reflects an increase of 48,952 shares due to the transfer of 48,952 shares previously reported as being held directly by the reporting person into the Robbiati Family Trust dated 02/04/20 on 09/11/20. |
(3) | Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. |
(4) | 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 will vest on 09/19/21, 42,067 of which will vest 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 also includes 2,664 vested dividend equivalent rights and a de minimus adjustment of 0.94210 due to fractional rounding of the dividend equivalent rights. |
(5) | As previously reported, on 12/10/18, the reporting person was granted 120,110 RSUs, 40,036 of which vested on 12/10/19, and 40,037 of which will vest on each of 12/10/20 and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 594.2412 dividend equivalent rights at $16.17 per RSU credited to the reporting person's account on 01/02/20; 1,003.0146 dividend equivalent rights at $9.58 per RSU credited to the reporting person's account on 04/01/20; and 1,020.0510 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20. |
(6) | As previously reported, on 12/10/19 the reporting person was granted 126,263 RSUs, 42,087 of which will vest on 12/10/20, and 42,088 of which will vest on each of 12/10/21 and 12/10/22. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 937.0167 dividend equivalent rights at $16.17 per RSU credited to the reporting person's account on 01/02/20; 1,581.5825 dividend equivalent rights at $9.58 per RSU credited to the reporting person's account on 04/01/20; and 1,608.4459 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
ROBBIATI TAREK C/O HEWLETT PACKARD ENTERPRISE COMPANY 6280 AMERICA CENTER DRIVE SAN JOSE, CA 95002 |
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| EVP & CFO |
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Signatures
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Derek Windham as Attorney-in-Fact for Tarek Robbiati | | 9/22/2020 |
**Signature of Reporting Person | Date |
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