Statement of Changes in Beneficial Ownership (4)
December 14 2020 - 6:31PM
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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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
*
ROBBIATI TAREK |
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)
EVP & CFO |
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(Last)
(First)
(Middle)
C/O HEWLETT PACKARD ENTERPRISE COMPANY, 11445 COMPAQ CENTER DRIVE WEST |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/10/2020 |
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(Street)
HOUSTON, TX 77070
(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 | 12/10/2020 | | M | | 43063 | A | $12.12 | 76251 | D |
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| Common Stock | 12/10/2020 | | F | | 21352 | D | $12.12 | 54899 | D |
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| Common Stock | 12/10/2020 | | M | | 43981 | A | $12.12 | 98880 | D |
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| Common Stock | 12/10/2020 | | F | | 21807 | D | $12.12 | 77073 | D |
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| Common Stock | | | | | | | | 78214 | I | by The Robbiati Family Trust dated 02/04/20 |
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) | 12/10/2020 | | M | | | 43063 (2) | (2) | (2) | Common Stock | 43063 | (2) | 43062 | D |
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| Restricted Stock Units | (1) | 12/10/2020 | | M | | | 43981 (3) | (3) | (3) | Common Stock | 43981 | (3) | 87960 | D |
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| Restricted Stock Units | (1) | 12/10/2020 | | A | | 182550 (4) | | (4) | (4) | Common Stock | 182550 | (4) | 182550 | D |
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| 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 12/10/18, the reporting person was granted 120,110 Restricted Stock Units ("RSUs"), 40,036 of which vested on 12/10/19, and 40,037 of which vested on 12/10/20, and 40,037 of which will vest on 12/10/21. 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 3,026 vested dividend equivalent rights and a de minimus adjustment of 0.1845 due to fractional rounding of the dividend equivalent rights. |
| (3) | As previously reported, on 12/10/19 the reporting person was granted 126,263 RSUs, 42,087 of which vested on 12/10/20, and 42,088 of which will vest on each of 12/10/21 and 12/10/22. 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 1,894 vested dividend equivalent rights and a de minimus adjustment of 0.1299 due to fractional rounding of the dividend equivalent rights. |
| (4) | On 12/10/20 the reporting person was granted 182,550 RSUs, 60,850 of which will vest on each of 12/10/21, 12/10/22 and 12/10/23. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
ROBBIATI TAREK
C/O HEWLETT PACKARD ENTERPRISE COMPANY
11445 COMPAQ CENTER DRIVE WEST
HOUSTON, TX 77070 |
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| EVP & CFO |
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Signatures
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| Derek Windham as Attorney-in-Fact for Tarek Robbiati | | 12/14/2020 |
| **Signature of Reporting Person | Date |
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