Statement of Changes in Beneficial Ownership (4)
24 Aprile 2023 - 11:11PM
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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Cox Jeremy |
2. Issuer Name and Ticker or Trading Symbol
Hewlett Packard Enterprise Co
[
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) SVP Controller and CTO |
(Last)
(First)
(Middle)
C/O HEWLETT PACKARD ENTERPRISE COMPANY, 1701 E MOSSY OAKS ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/20/2023 |
(Street)
SPRING, TX 77389 |
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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(City)
(State)
(Zip)
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Rule 10b5-1(c) Transaction Indication
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Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to
satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
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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 | 4/20/2023 | | M | | 25027 | A | $14.54 | 25027 | D | |
Common Stock | 4/20/2023 | | F | | 6090 | D | $14.54 | 18937 | 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) | 1/13/2023 | | A | | 383.65 (2) | | (2) | (2) | Common Stock | 383.65 | (2) | 30103.6711 | D | |
Restricted Stock Units | (1) | 1/13/2023 | | A | | 244.84 (3) | | (3) | (3) | Common Stock | 244.84 | (3) | 17854.8444 | D | |
Restricted Stock Units | (1) | 1/13/2023 | | A | | 40.68 (4) | | (4) | (4) | Common Stock | 40.68 | (4) | 2965.6837 | D | |
Restricted Stock Units | (1) | 1/13/2023 | | A | | 450.21 (5) | | (5) | (5) | Common Stock | 450.21 | (5) | 31799.2069 | D | |
Restricted Stock Units | (1) | 4/20/2023 | | M | | | 25027 (6) | (6) | (6) | Common Stock | 25027 | (6) | 50051 | D | |
Restricted Stock Units | (1) | 1/13/2023 | | A | | 910.81 (7) | | (7) | (7) | Common Stock | 910.81 | (7) | 62297.8148 | 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 07/23/18, the reporting person was granted 129,282 restricted stock units ("RSUs"), 25,856 of which vested on each of 07/23/19 and 07/23/20, 25,857 of which vested on 07/23/21, 25,856 of which vested on 07/23/22, and 25,857 of which will vest on 07/23/23. The number of derivative securities in column 5 includes 188.6225 dividend equivalent rights at $16.45 per RSU credited to the reporting person's account on 01/13/23, and 195.0245 dividend equivalent rights at $15.91 per RSU credited to the reporting person's account on 04/14/23. |
(3) | As previously reported, on 12/10/20, the reporting person was granted 49,505 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 includes 120.3793 dividend equivalent rights at $16.45 per RSU credited to the reporting person's account on 01/13/23, and 124.4651 dividend equivalent rights at $15.91 per RSU credited to the reporting person's account on 04/14/23. |
(4) | As previously reported, on 12/16/20, the reporting person was granted 8,224 RSUs, 2,741 of which vested on 12/16/21, 2,741 of which vested on 12/16/22, and 2,742 of which will vest on 12/16/23. 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 includes 20.0024 dividend equivalent rights at $16.45 per RSU credited to the reporting person's account on 01/13/23, and 20.6813 dividend equivalent rights at $15.91 per RSU credited to the reporting person's account on 04/14/23. |
(5) | As previously reported, on 12/09/21, the reporting person was granted 45,514 RSUs, 15,171 of which vested on 12/09/22, 15,171 of which will vest on 12/09/23, and 15,172 of which will vest on 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 includes 221.3471 dividend equivalent rights at $16.45 per RSU credited to the reporting person's account on 01/13/23, and 228.8598 dividend equivalent rights at $15.91 per RSU credited to the reporting person's account on 04/14/23. |
(6) | As previously reported, on 04/20/22, the reporting person was granted 72,639 RSUs, 24,213 of which vested on 04/20/23, and 24,213 of which will vest on each of 04/20/24 and 04/20/25. 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 includes 529.8894 dividend equivalent rights at $16.45 per RSU credited to the reporting person's account on 01/13/23, and 547.8743 dividend equivalent rights at $15.91 per RSU credited to the reporting person's account on 04/14/23. The number of derivative securities in column 5 also reflects 814 vested dividend equivalent rights and a de minimus adjustment of 0.8081 due to fractional rounding of the dividend equivalent rights. |
(7) | As previously reported, on 12/08/22, the reporting person was granted 61,387 RSUs, 20,462 of which will vest on each of 12/08/23 and 12/08/24, and 20,463 of which will vest on 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 includes 447.8079 dividend equivalent rights at $16.45 per RSU credited to the reporting person's account on 01/13/23, and 463.0069 dividend equivalent rights at $15.91 per RSU credited to the reporting person's account on 04/14/23. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Cox Jeremy C/O HEWLETT PACKARD ENTERPRISE COMPANY 1701 E MOSSY OAKS ROAD SPRING, TX 77389 |
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| SVP Controller and CTO |
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Signatures
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Ki Hoon Kim as Attorney-in-Fact for Jeremy K. Cox | | 4/24/2023 |
**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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