SEC Form 4 · accession 0001179706-16-000481
Hewlett Packard Enterprise Co · HPE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael G Nefkens
Officer — EVP, GM Enterprise Services
Period of report
Nov 2, 2016
Accepted (ET)
Nov 3, 2016 · 6:44 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 StockF1 | Nov 2, 2016 | M | 69,857 | $22.02 | A | 211,615 | D | |
| Common Stock | Nov 2, 2016 | F | 36,452 | $22.02 | D | 175,163 | D | |
| Common StockF2 | holding | — | — | — | 1,012 | I | By Michael Nefkens Trust 02/27/09 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF4,F3 | — | Oct 31, 2016 | A | 78 | A | — | — | Common Stock | 78 | 33,659 | D |
| Restricted Stock UnitsF5,F3 | — | Oct 31, 2016 | A | 118 | A | — | — | Common Stock | 118 | 49,749 | D |
| Restricted Stock UnitsF6,F3 | — | Nov 2, 2016 | M | 69,857 | D | — | — | Common Stock | 69,857 | 139,712 | D |
| Restricted Stock UnitsF7,F3 | — | Oct 31, 2016 | A | 185 | A | — | — | Common Stock | 185 | 76,683 | D |
Explanation of responses
- F1The total beneficial ownership includes the acquisition of 0.0260 shares at $22.4933 per share received on 11/01/16 through dividends paid in shares.
- F2There is no reportable change since the last filing. This is a reiteration of holdings only.
- F3Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
- F4As previously reported, on 12/11/13 the reporting person was granted 53,354 restricted stock units ("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 78.2924 dividend equivalent rights being reported reflect 78.2924 dividend equivalent rights at $22.47 per RSU credited to the reporting person's account on 10/31/16.
- F5As 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 117.8351 dividend equivalent rights being reported reflect 117.8351 dividend equivalent rights at $22.47 per RSU credited to the reporting person's account on 10/31/16.
- F6As previously reported, on 11/02/15 the reporting person was granted 207,039 RSUs, 69,013 of which vested on 11/02/16, and 69,013 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 number of derivative securities in column 5 includes 506.7710 dividend equivalent rights at $22.47 per RSU credited to the reporting person's account on 10/31/16. The number of derivative securities in column 5 also includes 844 vested dividend equivalent rights accrued but not released since the grant date, and a de minimus adjustment of 0.9326 shares due to the rounding of fractional shares.
- F7As 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 185.4335 dividend equivalent rights being reported reflect 185.4335 dividend equivalent rights at $22.47 per RSU credited to the reporting person's account on 10/31/16.