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
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 * | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer |
(Check all applicable) |
Neri Antonio F | Hewlett Packard Enterprise Co [ HPE ] | _____ Director | _____ 10% Owner | |||||||||||||||||||||||||
(Last) | (First) | (Middle) | 3. Date of Earliest Transaction (MM/DD/YYYY) | |||||||||||||||||||||||||
__X__ Officer (give title below) _____ Other (specify below) | ||||||||||||||||||||||||||||
C/O HEWLETT PACKARD | 9/16/2019 | President and CEO | ||||||||||||||||||||||||||
ENTERPRISE COMPANY, 6280 | ||||||||||||||||||||||||||||
AMERICA CENTER | ||||||||||||||||||||||||||||
(Street) | 4. If Amendment, Date Original Filed (MM/DD/YYYY) | 6. Individual or Joint/Group Filing (Check Applicable Line) | ||||||||||||||||||||||||||
SAN JOSE, CA 95002 | _X _ Form filed by One Reporting Person | |||||||||||||||||||||||||||
(City) | (State) | (Zip) | ___ Form filed by More than One Reporting Person | |||||||||||||||||||||||||
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||||||||||||||||||||
1.Title of Security | 2. Trans. Date | 2A. Deemed | 3. Trans. Code | 4. Securities Acquired (A) or | 5. Amount of Securities Beneficially Owned | 6. | 7. Nature | |||||||||||||||||||||
(Instr. 3) | Execution | (Instr. 8) | Disposed of (D) | Following Reported Transaction(s) | Ownership | of Indirect | ||||||||||||||||||||||
Date, if any | (Instr. 3, 4 and 5) | (Instr. 3 and 4) | Form: | Beneficial | ||||||||||||||||||||||||
Direct (D) | Ownership | |||||||||||||||||||||||||||
or Indirect | (Instr. 4) | |||||||||||||||||||||||||||
(A) or | (I) (Instr. | |||||||||||||||||||||||||||
Code | V | Amount | (D) | Price | 4) | |||||||||||||||||||||||
Common Stock | 9/16/2019 | M | 24666 | A | $7.81 | 29602 | D | |||||||||||||||||||||
Common Stock | 9/16/2019 | S | 24666 (1) | D | $15.1859 (3) | 4936 | D | |||||||||||||||||||||
Common Stock | 9/16/2019 | M | 24969 | A | $9.39 | 29905 | D | |||||||||||||||||||||
Common Stock | 9/16/2019 | S | 24969 (2) | D | $15.1859 (3) | 4936 | D | |||||||||||||||||||||
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | ||||||||||||||||||||||||||||
1. Title of | 2. | 3. Trans. | 3A. | 4. Trans. | 5. Number of Derivative | 6. Date Exercisable and | 7. Title and Amount of | 8. Price of | 9. Number of | 10. | 11. Nature | |||||||||||||||||
Derivate | Conversion | Date | Deemed | Code | Securities Acquired (A) or | Expiration Date | Securities Underlying | Derivative | derivative | Ownership | of Indirect | |||||||||||||||||
Security | or Exercise | Execution | (Instr. 8) | Disposed of (D) | Derivative Security | Security | Securities | Form of | Beneficial | |||||||||||||||||||
(Instr. 3) | Price of | Date, if any | (Instr. 3, 4 and 5) | (Instr. 3 and 4) | (Instr. 5) | Beneficially | Derivative | Ownership | ||||||||||||||||||||
Derivative | Owned | Security: | (Instr. 4) | |||||||||||||||||||||||||
Security | Date | Expiration | Amount or | Following | Direct (D) | |||||||||||||||||||||||
Title | Number of | Reported | or Indirect | |||||||||||||||||||||||||
Code | V | (A) | (D) | Exercisable | Date | Shares | Transaction(s) | (I) (Instr. | ||||||||||||||||||||
(Instr. 4) | 4) | |||||||||||||||||||||||||||
Employee | ||||||||||||||||||||||||||||
Stock Option | $7.81 | 9/16/2019 | M | 24666 | 9/27/2012 (5) | 9/27/2019 | (6) | Common | 24666 | $0 | 0 | D | ||||||||||||||||
(Right to | Stock | |||||||||||||||||||||||||||
Buy) (4) | ||||||||||||||||||||||||||||
Employee | ||||||||||||||||||||||||||||
Stock Option | $9.39 | 9/16/2019 | M | 24969 | 12/7/2012 (5) | 12/7/2019 | (6) | Common | 24969 | $0 | 0 | D | ||||||||||||||||
(Right to | Stock | |||||||||||||||||||||||||||
Buy) (4) | ||||||||||||||||||||||||||||
Restricted | (7) | 7/3/2019 | A | 376.2827 (8) | (8) | (8) | Common | 376.2827 | (8) | 54271.7124 | D | |||||||||||||||||
Stock Units | Stock | |||||||||||||||||||||||||||
Restricted | (7) | 7/3/2019 | A | 1552.2719 (9) | (9) | (9) | Common | 1552.2719 | (9) | 220801.016 | D | |||||||||||||||||
Stock Units | Stock | |||||||||||||||||||||||||||
Restricted | (7) | 7/3/2019 | A | 2562.8368 (10) | (10) | (10) | Common | 2562.8368 | (10) | 356264.401 | D | |||||||||||||||||
Stock Units | Stock | |||||||||||||||||||||||||||
Explanation of Responses:
- The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 09/06/19.
- The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 09/11/19.
- The price in Column 4 is a weighted average price. The prices actually paid ranged from $15.1350 to $15.2350. 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.
- This option reflects the conversion adjustments previously reported.
- This option became exercisable beginning on this date.
- This option is no longer exercisable beginning on this date.
- Each restricted stock unit represents a contingent right to receive one share of HP common stock.
- As previously reported, on 12/07/16 the reporting person was granted 91,167 Restricted Stock Units ("RSUs"), 51,140 of which vested on 12/07/17, 51,140 of which vested on 12/07/18, and 51,141 of which will vest on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 376.2827 dividend equivalent rights at $15.2900 per RSU credited to the reporting person's account on 07/03/19. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.
- As previously reported, on 12/07/17 the reporting person was granted 316,456 RSUs, 105,485 of which vested on 12/07/18, 105,485 of which will vest on 12/07/19, and 105,486 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. Also included are 1,552.2719 dividend equivalent rights at $15.2900 per RSU credited to the reporting person's account on 07/03/19.
- As previously reported, on 12/10/18 the reporting person was granted 348,318 RSUs, 116,106 of which will vest on each of 12/10/19, 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 2,562.8368 dividend equivalent rights at $15.2900 per RSU credited to the reporting person's account on 07/03/19.
Reporting Owners
Reporting Owner Name / Address | Relationships | |||||
Director | 10% Owner | Officer | Other | |||
Neri Antonio F | ||||||
C/O HEWLETT PACKARD ENTERPRISE COMPANY | President and CEO | |||||
6280 AMERICA CENTER | ||||||
SAN JOSE, CA 95002 | ||||||
Signatures | ||||||
Derek Windham as Attorney-in-Fact for Antonio F. Neri | 9/17/2019 | |||||
**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).
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Disclaimer
Hewlett Packard Enterprise Co. published this content on 17 September 2019 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 17 September 2019 22:16:07 UTC