SEC Form 4 · accession 0001179706-15-000338
Hewlett Packard Enterprise Co · HPE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Margaret C Whitman
Officer — President & CEO · Director
Period of report
Dec 9, 2015
Accepted (ET)
Dec 10, 2015 · 6:27 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001645590
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 453,108 | D | ||
| Common StockF1 | holding | — | — | — | 66 | I | By Living Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2,F3 | $14.85 | Dec 9, 2015 | A | 895,846 | A | Dec 9, 2016 | Dec 9, 2023 | Common Stock | 895,846 | 895,846 | D |
| Restricted Stock UnitsF5,F4 | — | Dec 9, 2015 | A | 218,855 | A | — | — | Common Stock | 218,855 | 218,855 | D |
| Restricted Stock UnitsF6,F7,F4 | — | Nov 1, 2015 | J | 1,013 | A | — | — | Common Stock | 1,013 | 2,282 | D |
| Restricted Stock UnitsF6,F8,F4 | — | Nov 1, 2015 | J | 40,004 | A | — | — | Common Stock | 40,004 | 90,102 | D |
| Restricted Stock UnitsF6,F9,F4 | — | Nov 1, 2015 | J | 56,750 | A | — | — | Common Stock | 56,750 | 127,819 | D |
Explanation of responses
- F1There is no reportable change since the last filing. This is a reiteration of holdings only.
- F2This option will become exercisable beginning on this date.
- F3This option is no longer exercisable beginning on this date.
- F4Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
- F5On 12/09/15 the reporting person was granted 218,855 restricted stock units ("RSUs"), 72,951 of which will vest on 12/09/16, and 72,952 of which will vest on each of 12/09/17 and 12/09/18. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.
- F6Hewlett-Packard Company ("HP Co.") stockholders of record on 10/21/15 ("Record Date") received one share of Hewlett Packard Enterprise common stock for every one share of HP Co. common stock held on the Record Date. As reported in the Registration Statement on Form 10 filed by Issuer with the SEC, in connection with the separation, equity-based awards granted by HP Co, prior to the separation will be converted to adjust the award in a manner intended to preserve the aggregate intrinsic value of the original HP Co. award as measured immediately before and immediately after the separation, subject to rounding. The adjusted equity award will otherwise be subject to the same terms and conditions that applied to the original HP Co. award immediately prior to the separation, unless otherwise noted. The reporting person's equity-based awards granted by HP Co. prior to separation have been converted into equity-based awards with respect to the Issuer's common stock.
- F7As previously reported, on 03/20/13 the reporting person was granted 3,616 RSUs, 1,205 of which vested on 03/20/14, 1,205 of which vested on 03/20/15, and 2,169 of which will vest on 03/20/16. 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 7.5779 dividend equivalent rights at $28.01 per RSU credited to the reporting person's account on 10/07/15.
- F8As previously reported, on 12/11/13 the reporting person was granted 144,498 RSUs, 48,166 of which vested on 12/11/14, 48,166 of which vested early on 09/17/15, and 86,628 of which will vest on 12/11/16. 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 302.6496 dividend equivalent rights at $28.01 per RSU credited to the reporting person's account on 10/07/15.
- F9As previously reported, on 12/10/14 the reporting person was granted 104,390 RSUs, 34,796 of which vested early on 09/17/15, 62,583 of which will vest on 12/10/16, and 62,584 of which will vest on 12/10/17. 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 437.2918 dividend equivalent rights at $28.01 per RSU credited to the reporting person's account on 10/07/15.