Securities Registration: Employee Benefit Plan (s-8)
02 Giugno 2023 - 10:13PM
Edgar (US Regulatory)
Registration No. 333-[__________]
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
______________________________________________________________________________
FORM S-8
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
______________________________________________________________________________
Hewlett Packard Enterprise Company
(Exact Name of Registrant as Specified in its Charter)
______________________________________________________________________________
| | | | | |
Delaware | 47-3298624 |
(State or Other Jurisdiction of
Incorporation or Organization) | (I.R.S. Employer
Identification No.) |
| |
1701 East Mossy Oaks Road
Spring, TX | 77389 |
(Address of Principal Executive Offices) | (Zip Code) |
Hewlett Packard Enterprise Company 2021 Stock Incentive Plan
OpsRamp, Inc. 2014 Equity Incentive Plan
(Full Title of the Plans)
Rishi Varma
Senior Vice President, General Counsel and Corporate Secretary
Hewlett Packard Enterprise Company
1701 East Mossy Oaks Road,
Spring, TX 77389
(678) 259-9860
(Name, Address, and Telephone Number, Including Area Code, of Agent for Service)
_____________________________________________________________________________
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company" in Rule 12b-2 of the Exchange Act.
| | | | | |
Large accelerated filer x | Accelerated filer o |
Non-accelerated filer o (Do not check if a smaller reporting company) | Smaller reporting company o |
| Emerging growth company o |
| |
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act. o
Explanatory Note
Hewlett Packard Enterprise Company, a Delaware corporation (the “Company” or the “Registrant”), is filing this Registration Statement on Form S-8 with the Securities and Exchange Commission (the “Commission”) to register 525,808 shares of common stock, par value $0.01 per share, of the Company (the “Common Stock”) issuable pursuant to stock options outstanding under the OpsRamp, Inc. 2014 Equity Incentive Plan immediately prior to the effective time of the merger of Opal Acquisition Sub Inc., a Delaware corporation, with and into OpsRamp Inc., a Delaware corporation, and assumed by the Registrant on May 2, 2023, pursuant to that certain Agreement and Plan of Merger dated as of March 17, 2023, by and among the Registrant, Opal Acquisition Sub, Inc., and OpsRamp, Inc.
This Registration Statement is also being filed with the Commission for the purpose of registering an additional 18,000,000 shares of Common Stock for issuance pursuant to the Hewlett Packard Enterprise Company 2021 Stock Incentive Plan (as amended from time to time, the “2021 Plan”). In connection with the 2021 Plan, the Registrant previously filed with the Commission a registration statement on Form S-8 (Registration No. 333-265378) on June 2, 2022, a registration statement on Form S-8 (Registration No. 333-255839), and two registration statements on Form S-8 POS (Registration Nos. 333-217152 and 333-207671) on May 6, 2021 (collectively, the “Prior Registration Statements”). In accordance with General Instruction E to Form S-8, the Registrant hereby incorporates by reference the contents of the Prior Registration Statements, except to the extent supplemented, superseded or modified by the specific information set forth below or the specific exhibits attached hereto.
Part I
Information Required in the Section 10(A) Prospectus
Item 1. Plan Information.
Not required to be filed as part of this Registration Statement pursuant to the Note to Part I of Form S-8.
Item 2. Registrant Information and Employee Plan Annual Information.
The prospectus containing information required by Part I of Form S-8 and related to this Registration Statement is omitted from this Registration Statement in accordance with the Note to Part I of Form S-8.
The documents containing the information specified in Part I will be sent or given to employees as specified by Rule 428(b)(1) under the Securities Act of 1933, as amended (the “Securities Act”). In accordance with the rules and regulations of the Commission, such documents are not being filed with the Commission as part of this Registration Statement.
Part II
Information Required in the Registration Statement
Item 3. Incorporation of Documents by Reference.
The Registrant hereby incorporates by reference into this Registration Statement the following documents previously filed by the Registrant with the Commission:
(a) The Registrant’s Annual Report on Form 10-K for the fiscal year ended October 31, 2022 filed with the Commission on December 8, 2022 pursuant to Section 13 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”);
(b) The Registrant’s Quarterly Report on Form 10-Q for the fiscal quarter ended January 31, 2023, filed with the Commission on March 7, 2023;
(c) The Registrant’s Current Reports on Form 8-K filed with the Commission on January 3, 2023, January 10, 2023, January 30, 2023, March 8, 2023, March 21, 2023, April 6, 2023, and May 26, 2023; and
(d) The description of the Common Stock set forth in Exhibit 4.16 to the Registrant’s Form 10-K (No. 001-37483) for the fiscal year ended October 31, 2020 filed with the Commission on December 10, 2020.
All reports and definitive proxy or information statements filed pursuant to Section 13(a), 13(c), 14 or 15(d) of the Exchange Act subsequent to the filing of this Registration Statement and prior to the filing of a post-effective amendment which indicates that all securities offered hereby have been sold or which de-registers all securities then remaining unsold shall be deemed to be incorporated by reference into this Registration Statement and to be a part hereof from the date of filing such documents, except as to specific sections of such statements as set forth therein. Unless expressly incorporated into this Registration Statement, a report furnished, but not filed, on Form 8-K prior or subsequent to the date hereof shall not be incorporated by reference into this Registration Statement. Any statement contained in a document incorporated or deemed to be incorporated by reference herein shall be deemed to be modified or superseded for purposes of this Registration Statement to the extent that a statement contained in any subsequently filed document which also is deemed to be incorporated by reference herein modifies or supersedes such statement.
Item 4. Description of Securities.
Not applicable.
Item 5. Interests of Named Experts and Counsel.
Rishi Varma, Senior Vice President, General Counsel and Corporate Secretary of the Registrant, will pass upon the validity of the issuance of the shares of Common Stock offered by this Registration Statement. Mr. Varma is an officer and employee of the Registrant and holds restricted stock units granted by the Registrant.
Item 6. Indemnification of Directors and Officers.
Section 145 of the Delaware General Corporation Law (the “DGCL”) authorizes corporations to limit or eliminate the personal liability of directors, officers, employees or agents to corporations and their stockholders in certain situations for monetary damages for breaches of directors’ fiduciary duties as directors in the circumstances therein provided and the Registrant’s amended and restated certificate of incorporation includes such an exculpation provision. The Registrant’s amended and restated certificate of incorporation and amended and restated bylaws include provisions that indemnify directors or officers, to the fullest extent allowable under the DGCL, for monetary damages for actions taken as a director or officer of the Registrant or any predecessor of the Registrant, or for serving at the Registrant’s request or the request of any predecessor of the Registrant as a director or officer or another position at another corporation or enterprise, as the case may be. Article VIII of the Registrant’s amended and restated certificate of incorporation includes such an indemnification provision. The Registrant’s amended and restated bylaws also provide that the Registrant must indemnify and advance reasonable expenses to its directors and officers, subject to its receipt of an undertaking from the indemnified party as may be required under the DGCL. The Registrant’s amended and restated bylaws expressly authorize the Registrant to carry directors’ and officers’ insurance to protect the Registrant, its directors, officers, agents and employees for certain liabilities.
The foregoing description is intended as a summary only and is qualified in its entirety by reference to the Registrant’s amended and restated certificate of incorporation, amended and restated bylaws and the DGCL.
Item 7. Exemption from Registration Claimed.
Not applicable.
Item 8. Exhibits.
The following exhibits are filed as part of this Registration Statement.
| | | | | |
| Exhibit Number | Description of Exhibit |
| 4.1 | |
| 4.2 | |
| 4.3 | |
| 4.4 | |
| 4.5 | |
| *4.6 | |
| *5.1 | |
| *23.1 | |
| *23.2 | |
| *24 | |
| *107 | |
* Filed herewith.
Item 9. Undertakings.
(a) The Registrant hereby undertakes:
(1) To file, during any period in which offers or sales are being made, a post-effective amendment to this Registration Statement:
(i) To include any prospectus required by Section 10(a)(3) of the Securities Act;
(ii) To reflect in the prospectus any facts or events arising after the effective date of the Registration Statement (or the most recent post-effective amendment thereof) which, individually or in the aggregate, represent a fundamental change in the information set forth in the Registration Statement. Notwithstanding the foregoing, any increase or decrease in volume of securities offered (if the total dollar value of securities offered would not exceed that which was registered) and any deviation from the low or high end of the estimated maximum offering range may be reflected in the form of prospectus filed with the Commission pursuant to Rule 424(b) if, in the aggregate, the changes in volume and price represent no more than a 20 percent change in the maximum aggregate offering price set forth in the “Calculation of Registration Fee” table in the effective Registration Statement; and
(iii) To include any material information with respect to the plan of distribution not previously disclosed in the Registration Statement or any material change to such information in the Registration Statement;
provided, however, that paragraphs (a)(1)(i) and (a)(1)(ii) do not apply if the information required to be included in a post-effective amendment by those paragraphs is contained in reports filed with or furnished to the Commission by the Registrant pursuant to Section 13 or Section 15(d) of the Exchange Act that are incorporated by reference in the Registration Statement;
(2) That, for the purpose of determining any liability under the Securities Act of 1933, each such post-effective amendment shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof; and
(3) To remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold at the termination of the offering.
(b) The Registrant hereby undertakes that, for purposes of determining any liability under the Securities Act, each filing of the Registrant’s annual report pursuant to Section 13(a) or Section 15(d) of the Exchange Act (and, where applicable, each filing of an employee benefit plan’s annual report pursuant to Section 15(d) of the Exchange Act) that is incorporated by reference in the Registration Statement shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.
(h) Insofar as indemnification for liabilities arising under the Securities Act may be permitted to directors, officers and controlling persons of the Registrant pursuant to the foregoing provisions, or otherwise, the Registrant has been advised that in the opinion of the Commission such indemnification is against public policy as expressed in the Securities Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Registrant of expenses incurred or paid by a director, officer or controlling person of the Registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Securities Act and will be governed by the final adjudication of such issue.
Signatures
Pursuant to the requirements of the Securities Act of 1933, the Registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Spring, State of Texas, on June 2, 2023.
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| HEWLETT PACKARD ENTERPRISE COMPANY |
| | |
| | |
| By: | /s/ Rishi Varma |
| Name: | Rishi Varma |
| Title: | Senior Vice President, General Counsel and Corporate Secretary |
KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below hereby constitutes and appoints each of Tarek Robbiati and Rishi Varma as his or her true and lawful agent, proxy and attorney-in-fact, each acting alone with full power of substitution and resubstitution, for him or her and in his or her name, place and stead, in any and all capacities, to (i) act on, sign and file with the Securities and Exchange Commission any and all amendments and supplements (including post-effective amendments) to this Registration Statement on Form S-8 together with all schedules and exhibits thereto, (ii) act on, sign and file such certificates, instruments, agreements and other documents as may be necessary or appropriate in connection therewith, and (iii) take any and all actions which may be necessary or appropriate in connection therewith, granting unto such agents, proxies and attorneys-in-fact, and each of them, full power and authority to do and perform each and every act and thing necessary or appropriate to be done, as fully for all intents and purposes as he or she might or could do in person, hereby approving, ratifying and confirming that all such agents, proxies and attorneys-in-fact, any of them or any of his or her or their substitute or substitutes, may lawfully do or cause to be done by virtue hereof.
To effect the above, each of the undersigned has executed this Power of Attorney as of the date indicated beside each name.
Pursuant to the requirements of the Securities Act of 1933, as amended, this Registration Statement has been signed by the following persons in the capacities and as of the dates indicated.
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| | |
Signature | | Date |
/s/ Antonio F. Neri Antonio F. Neri | President, Chief Executive Officer and Director (Principal Executive Officer) | June 2, 2023 |
/s/ Tarek Robbiati Tarek Robbiati | Executive Vice President and Chief Financial Officer (Principal Financial Officer) | June 2, 2023 |
/s/ Jeremy Cox Jeremy Cox | Senior Vice President, Controller and Chief Tax Officer (Principal Accounting Officer) | June 2, 2023 |
/s/ Patricia F. Russo Patricia F. Russo | Chair | June 2, 2023 |
/s/ Daniel Ammann Daniel Ammann | Director | June 2, 2023 |
/s/ Pamela L. Carter Pamela L. Carter | Director | June 2, 2023 |
| | | | | | | | |
/s/ Frank A. D’Amelio Frank A. D’Amelio | Director | June 2, 2023 |
/s/ Regina E. Dugan Regina E. Dugan | Director | June 2, 2023 |
/s/ Jean M. Hobby Jean M. Hobby | Director | June 2, 2023 |
/s/ Raymond J. Lane Raymond J. Lane | Director | June 2, 2023 |
/s/ Ann M. Livermore Ann M. Livermore | Director | June 2, 2023 |
/s/Charles H. Noski Charles H. Noski | Director | June 2, 2023 |
/s/ Raymond E. Ozzie Raymond E. Ozzie | Director | June 2, 2023 |
/s/ Gary M. Reiner Gary M. Reiner | Director | June 2, 2023 |
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