SEC Form 4 · accession 0001179706-16-000342
Hewlett Packard Enterprise Co · HPE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael G Nefkens
Officer — EVP, Enterprise Services
Period of report
Jan 16, 2016
Accepted (ET)
Jan 20, 2016 · 7:01 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,F2 | Jan 16, 2016 | M | 38,860 | $12.54 | A | 39,272 | D | |
| Common Stock | Jan 16, 2016 | F | 14,923 | $12.54 | D | 24,349 | D | |
| Common StockF3 | holding | — | — | — | 88,243 | I | By Michael Nefkens Trust 02/27/09 | |
| Common StockF4 | holding | — | — | — | 30,178 | I | By Joint Account with Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF6,F5 | — | Jan 16, 2016 | M | 38,860 | D | — | — | Common Stock | 38,860 | 0 | D |
| Restricted Stock UnitsF7,F5 | — | Jan 6, 2016 | A | 119 | A | — | — | Common Stock | 119 | 33,387 | D |
| Restricted Stock UnitsF8,F5 | — | Jan 6, 2016 | A | 179 | A | — | — | Common Stock | 179 | 49,340 | D |
| Restricted Stock UnitsF9,F5 | — | Jan 6, 2016 | A | 769 | A | — | — | Common Stock | 769 | 207,808 | D |
| Restricted Stock UnitsF10,F5 | — | Jan 6, 2016 | A | 282 | A | — | — | Common Stock | 282 | 76,040 | D |
Explanation of responses
- F1The total direct beneficial ownership includes the acquisition of 0.0280 shares at $14.9495 per share received on 01/06/16 through dividends paid in shares.
- F10As previously reported, on 12/09/15 the reporting person was granted 75,758 RSUs, 25,252 of which will vest on 12/09/16, and 25,253 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. The number of derivative securities in column 5 includes 281.5331 dividend equivalent rights at $14.80 per RSU credited to the reporting person's account on 01/06/16.
- F2The total direct beneficial ownership reflects a decrease of 30,178 shares due to the transfer of 30,178 shares into the reporting person's joint account with his spouse on 12/24/15.
- F3There is no reportable change since the last filing. This is a reiteration of holdings only.
- F4The total indirect beneficial ownership reflects an increase of 30,178 shares due to the transfer of 30,178 shares previously reported as being held directly by the reporting person into the joint account he has with his spouse on 12/24/15.
- F5Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
- F6As previously reported, on 01/16/13 the reporting person was granted 61,012 restricted stock units ("RSUs"), 20,337 of which vested on 01/16/14 and 01/16/15, and 36,578 of which vested on 01/16/16. 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 beneficially owned immediately prior to the transaction being reported includes 135.9318 dividend equivalent rights at $14.80 per RSU credited to the reporting person's account on 01/06/16. The number of derivative securities in column 5 includes 2,282 vested dividend equivalent rights and a de minimus adjustment of 0.2865 due to fractional rounding of the dividend equivalent rights.
- F7As previously reported, on 12/11/13 the reporting person was granted 53,354 RSUs, 17,784 of which vested on 12/11/14, 17,785 of which vested early on 09/17/15, and 31,986 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 118.8669 dividend equivalent rights at $14.80 per RSU credited to the reporting person's account on 01/06/16.
- F8As previously reported, on 12/10/14 the reporting person was granted 40,150 RSUs, 13,383 of which vested early on 09/17/15, 24,070 of which will vest on 12/10/16, and 24,071 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 178.9024 dividend equivalent rights at $14.80 per RSU credited to the reporting person's account on 01/06/16.
- F9As previously reported, on 11/02/15 the reporting person was granted 207,039 RSUs, 69,013 of which will vest on each of 11/02/16, 11/02/17, and 11/02/18. 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 769.4017 dividend equivalent rights at $14.80 per RSU credited to the reporting person's account on 01/06/16.