Statement of Changes in Beneficial Ownership (4)
15 Marzo 2023 - 12:00AM
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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Mottram Phil |
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, GM, Intelligent Edge |
(Last)
(First)
(Middle)
C/O HEWLETT PACKARD ENTERPRISE COMPANY, 1701 E MOSSY OAKS ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/10/2023 |
(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 | 3/10/2023 | | S | | 34764 | D | $14.609 (1) | 0 | 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 | (2) | 1/13/2023 | | A | | 120.3793 (3) | | (3) | (3) | Common Stock | 120.3793 | (3) | 17730.3793 | D | |
Restricted Stock Units | (2) | 1/13/2023 | | A | | 228.5325 (4) | | (4) | (4) | Common Stock | 228.5325 | (4) | 33111.2627 | D | |
Restricted Stock Units | (2) | 1/13/2023 | | A | | 474.3100 (5) | | (5) | (5) | Common Stock | 474.3100 | (5) | 67651.3100 | D | |
Restricted Stock Units | (2) | 1/13/2023 | | A | | 1007.5769 (6) | | (6) | (6) | Common Stock | 1007.5769 | (6) | 139129.5769 | D | |
Explanation of Responses: |
(1) | The price in Column 4 is a weighted average price of $14.609078. The prices actually paid ranged from $14.58 to $14.69. 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. |
(2) | Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. |
(3) | As previously reported, on 12/10/20 the reporting person was granted 49,505 restricted stock units ("RSUs"), 16,501 of which vested on 12/10/21, 16,502 of which vested on 12/10/22, and 16,502 of which will vest on 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 reflects 120.3793 dividend equivalent rights at $16.45 per RSU credited to the reporting person's account on 01/13/23. |
(4) | As previously reported, on 05/28/21 the reporting person was granted 46,992 RSUs, 15,664 of which vested on 05/28/22, and 15,664 of which will vest on each of 05/28/23 and 05/28/24. 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 reflects 228.5325 dividend equivalent rights at $16.45 per RSU credited to the reporting person's account on 01/13/23. |
(5) | As previously reported, on 12/09/21 the reporting person was granted 97,529 RSUs, 32,509 of which vested on 12/09/22, and 32,510 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 reflects 474.3100 dividend equivalent rights at $16.45 per RSU credited to the reporting person's account on 01/13/23. |
(6) | As previously reported, on 12/08/22, the reporting person was granted 138,122 RSUs, 46,040 of which will vest on 12/08/23, and 46,041 of which will vest on each of 12/08/24 and 12/08/25. 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 reflects 1,007.5769 dividend equivalent rights at $16.45 per RSU credited to the reporting person's account on 01/13/23. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Mottram Phil C/O HEWLETT PACKARD ENTERPRISE COMPANY 1701 E MOSSY OAKS ROAD SPRING, TX 77389 |
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| EVP, GM, Intelligent Edge |
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Signatures
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Ki Hoon Kim Attorney-in-Fact for Philip J. Mottram | | 3/14/2023 |
**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. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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