Statement of Changes in Beneficial Ownership (4)
December 10 2019 - 5:36PM
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
*
SCHULTZ JOHN 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)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP, CLAA & SEC |
(Last)
(First)
(Middle)
C/O HEWLETT PACKARD ENTERPRISE COMPANY, 6280 AMERICA CENTER DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/7/2019 |
(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 | 12/7/2019 | | M | | 33410 | A | $15.91 | 389443.9884 | D | |
Common Stock | 12/7/2019 | | F | | 16566 | D | $15.91 | 372877.9884 | D | |
Common Stock | 12/7/2019 | | M | | 49433 | A | $15.91 | 422310.9884 | D | |
Common Stock | 12/7/2019 | | F | | 24510 | D | $15.91 | 397800.9884 | 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) | 12/7/2019 | | M | | | 33410 (2) | (2) | (2) | Common Stock | 33410 | (2) | 0 | D | |
Restricted Stock Units | (1) | 12/7/2019 | | M | | | 49433 (3) | (3) | (3) | Common Stock | 49433 | (3) | 49432 | 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 12/07/16 the reporting person was granted 55,713 Restricted Stock Units ("RSUs"), 31,251 of which vested on 12/07/17, 31,253 of which vested on 12/07/18, and 31,253 of which vested on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported. The number of derivative securities in column 5 also includes 2,157 vested dividend equivalent rights and a de minimus adjustment of 0.5176 due to fractional rounding of the dividend equivalent rights. |
(3) | As previously reported, on 12/07/17 the reporting person was granted 140,647 RSUs, 46,882 of which vested on 12/07/18, 46,882 of which vested on 12/07/19, and 46,883 of which will vest on 12/07/20. 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 2,551 vested dividend equivalent rights and a de minimus adjustment of 0.3692 due to fractional rounding of the dividend equivalent rights. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
SCHULTZ JOHN F C/O HEWLETT PACKARD ENTERPRISE COMPANY 6280 AMERICA CENTER DRIVE SAN JOSE, CA 95002 |
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| EVP, CLAA & SEC |
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Signatures
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Derek Windham as Attorney-in-Fact for John F. Schultz | | 12/10/2019 |
**Signature of Reporting Person | Date |
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