SEC Form 4 · accession 0001179706-16-000432
Hewlett Packard Enterprise Co · HPE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeff T Ricci
Officer — SVP, Controller & PAO
Period of report
Jul 29, 2016
Accepted (ET)
Aug 2, 2016 · 6:27 pm EDT
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 Stock | Jul 29, 2016 | M | 28,776 | $19.70 | A | 28,776 | D | |
| Common StockF1 | Jul 29, 2016 | S | 28,776 | $21.40 | D | 0 | D |
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 | $19.70 | Jul 29, 2016 | M | 28,776 | D | Apr 21, 2010 | Apr 21, 2017 | Common Stock | 28,776 | 0 | D |
| Restricted Stock UnitsF5,F4 | — | Jul 6, 2016 | A | 17 | A | — | — | Common Stock | 17 | 6,120 | D |
| Restricted Stock UnitsF6,F4 | — | Jul 6, 2016 | A | 22 | A | — | — | Common Stock | 22 | 7,795 | D |
| Restricted Stock UnitsF7,F4 | — | Jul 6, 2016 | A | 24 | A | — | — | Common Stock | 24 | 8,273 | D |
| Restricted Stock UnitsF8,F4 | — | Jul 6, 2016 | A | 129 | A | — | — | Common Stock | 129 | 43,554 | D |
| Restricted Stock UnitsF9,F4 | — | Jul 6, 2016 | A | 91 | A | — | — | Common Stock | 91 | 30,599 | D |
Explanation of responses
- F1The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 06/03/16.
- F2This option became 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.
- F5As previously reported, on 12/11/13 the reporting person was granted 9,726 RSUs, 3,242 of which vested on 12/11/14, 3,246 of which vested early on 09/17/15, and 5,830 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 17.4266 dividend equivalent rights being reported reflect 17.4266 dividend equivalent rights at $18.40 per RSU credited to the reporting person's account on 07/06/16.
- F6As previously reported, on 05/23/14 the reporting person was granted 12,500 RSUs, 4,166 of which vested on 05/23/15, 7,494 of which vested on 05/23/16, and 7,494 of which will vest on 05/23/17. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The 22.4005 dividend equivalent rights being reported reflect 22.4005 dividend equivalent rights at $18.40 per RSU credited to the reporting person's account on 07/06/16.
- F7As previously reported, on 12/10/14 the reporting person was granted 6,692 RSUs, 2,230 of which vested early on 09/17/15, 4,012 of which will vest on 12/10/16, and 4,013 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 23.9878 dividend equivalent rights being reported reflect 23.9878 dividend equivalent rights at $18.40 per RSU credited to the reporting person's account on 07/06/16.
- F8As previously reported, on 11/02/15 the reporting person was granted 43,133 RSUs, 14,377 of which will vest on 11/02/16, and 14,378 of which will vest on each of 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 128.9302 dividend equivalent rights being reported reflect 128.9302 dividend equivalent rights at $18.40 per RSU credited to the reporting person's account on 07/06/16.
- F9As previously reported, on 12/09/15 the reporting person was granted 30,303 RSUs, 10,101 of which will vest on each of 12/09/16, 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 90.5796 dividend equivalent rights being reported reflect 90.5796 dividend equivalent rights at $18.40 per RSU credited to the reporting person's account on 07/06/16.