SEC Form 4 · accession 0001179706-16-000456
Hewlett Packard Enterprise Co · HPE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Antonio F Neri
Officer — EVP and GM EG
Period of report
Sep 21, 2016
Accepted (ET)
Sep 22, 2016 · 4:51 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 | Sep 21, 2016 | M | 4,496 | $18.60 | A | 21,213 | D | |
| Common StockF1 | Sep 21, 2016 | S | 4,496 | $23.00 | D | 16,717 | D | |
| Common Stock | Sep 21, 2016 | M | 14,658 | $13.12 | A | 31,375 | D | |
| Common StockF1 | Sep 21, 2016 | S | 14,658 | $23.00 | D | 16,717 | D | |
| Common Stock | Sep 21, 2016 | M | 14,837 | $15.80 | A | 31,554 | D | |
| Common StockF1 | Sep 21, 2016 | S | 14,837 | $23.00 | D | 16,717 | D | |
| Common Stock | Sep 21, 2016 | M | 96,349 | $7.69 | A | 113,066 | D | |
| Common StockF1 | Sep 21, 2016 | S | 96,349 | $23.00 | D | 16,717 | D | |
| Common Stock | Sep 21, 2016 | M | 34,914 | $15.01 | A | 51,631 | D | |
| Common StockF1 | Sep 21, 2016 | S | 34,914 | $23.00 | D | 16,717 | D | |
| Common Stock | Sep 21, 2016 | M | 48,145 | $20.78 | A | 64,862 | D | |
| Common StockF1 | Sep 21, 2016 | S | 48,145 | $23.00 | D | 16,717 | 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 | $18.60 | Sep 21, 2016 | M | 4,496 | D | Dec 1, 2009 | Dec 1, 2016 | Common Stock | 4,496 | 0 | D |
| Employee Stock Option (Right to Buy)F2,F3 | $13.12 | Sep 21, 2016 | M | 14,658 | D | Sep 27, 2012 | Sep 27, 2019 | Common Stock | 14,658 | 14,658 | D |
| Employee Stock Option (Right to Buy)F2,F3 | $15.80 | Sep 21, 2016 | M | 14,837 | D | Dec 7, 2012 | Dec 7, 2019 | Common Stock | 14,837 | 14,838 | D |
| Employee Stock Option (Right to Buy)F2,F3 | $7.69 | Sep 21, 2016 | M | 96,349 | D | Dec 6, 2013 | Dec 6, 2020 | Common Stock | 96,349 | 96,349 | D |
| Employee Stock Option (Right to Buy)F2,F3 | $15.01 | Sep 21, 2016 | M | 34,914 | D | Dec 11, 2014 | Dec 11, 2021 | Common Stock | 34,914 | 69,830 | D |
| Employee Stock Option (Right to Buy)F2,F3 | $20.78 | Sep 21, 2016 | M | 48,145 | D | Dec 10, 2015 | Dec 10, 2022 | Common Stock | 48,145 | 240,728 | D |
| Restricted Stock UnitsF5,F4 | — | Jul 6, 2016 | A | 35 | A | — | — | Common Stock | 35 | 12,217 | D |
| Restricted Stock UnitsF6,F4 | — | Jul 6, 2016 | A | 55 | A | — | — | Common Stock | 55 | 18,930 | D |
| Restricted Stock UnitsF7,F4 | — | Jul 6, 2016 | A | 192 | A | — | — | Common Stock | 192 | 66,174 | D |
| Restricted Stock UnitsF8,F4 | — | Jul 6, 2016 | A | 619 | A | — | — | Common Stock | 619 | 209,061 | D |
| Restricted Stock UnitsF9,F4 | — | Jul 6, 2016 | A | 226 | A | — | — | Common Stock | 226 | 76,498 | 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 09/13/16.
- 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 19,413 restricted stock units ("RSUs"), 6,471 of which vested on 12/11/14, 6,471 of which vested early on 09/17/15, and 11,638 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 34.7875 dividend equivalent rights being reported reflect 34.7875 dividend equivalent rights at $18.40 per RSU credited to the reporting person's account on 07/06/16.
- F6As previously reported, on 06/16/14 the reporting person was granted 30,490 RSUs, 10,163 of which vested on 06/16/15, 18,278 of which vested on 06/16/16, and 18,280 of which will vest on 06/16/17. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.. The 54.6413 dividend equivalent rights being reported reflect 54.6413 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 53,533 RSUs, 17,844 of which vested early on 09/17/15, 32,093 of which will vest on 12/10/16, and 32,094 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 191.8633 dividend equivalent rights being reported reflect 191.8633 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 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 618.8666 dividend equivalent rights being reported reflect 618.8666 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 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 226.4505 dividend equivalent rights being reported reflect 226.4505 dividend equivalent rights at $18.40 per RSU credited to the reporting person's account on 07/06/16.