SEC Form 4 · accession 0001179706-16-000483
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
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 Stock | Nov 2, 2016 | M | 14,554 | $22.02 | A | 14,554 | D | |
| Common Stock | Nov 2, 2016 | F | 5,470 | $22.02 | D | 9,084 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F1 | — | Oct 31, 2016 | A | 14 | A | — | — | Common Stock | 14 | 6,134 | D |
| Restricted Stock UnitsF3,F1 | — | Oct 31, 2016 | A | 18 | A | — | — | Common Stock | 18 | 7,814 | D |
| Restricted Stock UnitsF4,F1 | — | Oct 31, 2016 | A | 20 | A | — | — | Common Stock | 20 | 8,292 | D |
| Restricted Stock UnitsF5,F1 | — | Nov 2, 2016 | M | 14,554 | D | — | — | Common Stock | 14,554 | 29,106 | D |
| Restricted Stock UnitsF6,F1 | — | Oct 31, 2016 | A | 74 | A | — | — | Common Stock | 74 | 30,673 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
- F2As previously reported, on 12/11/13 the reporting person was granted 9,726 restricted stock units ("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 14.2701 dividend equivalent rights being reported reflect 14.2701 dividend equivalent rights at $22.47 per RSU credited to the reporting person's account on 10/31/16.
- F3As 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 18.3431 dividend equivalent rights being reported reflect 18.3431 dividend equivalent rights at $22.47 per RSU credited to the reporting person's account on 10/31/16.
- F4As 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 19.6429 dividend equivalent rights being reported reflect 19.6429 dividend equivalent rights at $22.47 per RSU credited to the reporting person's account on 10/31/16.
- F5As previously reported, on 11/02/15 the reporting person was granted 43,133 RSUs, 14,377 of which vested 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 number of derivative securities in column 5 includes 105.5770 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 177 vested dividend equivalent rights accrued but not released since the grant date, and a de minimus adjustment of 0.1124 shares due to the rounding of fractional shares.
- F6As 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 74.1729 dividend equivalent rights being reported reflect 74.1729 dividend equivalent rights at $22.47 per RSU credited to the reporting person's account on 10/31/16.