SEC Form 4 · accession 0001179706-16-000517
Hewlett Packard Enterprise Co · HPE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Pamela L Carter
Director
Period of report
Nov 11, 2016
Accepted (ET)
Nov 15, 2016 · 5:54 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 StockF2 | Nov 11, 2016 | M | 4,128 | $0.00 | A | 4,128 | I | By Merrill Lynch |
| Common Stock | holding | — | — | — | 0 | 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,F3,F1 | — | Nov 11, 2016 | M | 4,128 | D | — | — | Common Stock | 4,128 | 0 | D |
| Restricted Stock UnitsF4,F1 | — | Jul 6, 2016 | A | 55 | A | — | — | Common Stock | 55 | 10,224 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
- F2The reporting person elected to defer the receipt of common stock until the termination of her service as a member of the Issuer's Board of Directors.
- F3As previously reported, on 11/11/15 the reporting person was granted 4,078 restricted stock units ("RSUs"), all of which cliff vested on 11/11/16. 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 12.1897 dividend equivalent rights at $18.40 per RSU credited to the reporting person's account on 07/06/16, and 9.9818 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 includes 50 vested dividend equivalent rights and a de minimus adjustment of 0.1855 due to fractional rounding of the dividend equivalent rights.
- F4On 04/25/16 the reporting person was granted 10,169 RSUs, all of which will cliff vest on the earlier of 04/25/17 or the date of Issuer's 2017 Annual Stockholders Meeting. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The 55.2872 dividend equivalent rights being reported reflect 30.3965 dividend equivalent rights at $18.40 per RSU credited to the reporting person's account on 07/06/16, and 24.8907 dividend equivalent rights at $22.47 per RSU credited to the reporting person's account on 10/31/16. The RSUs that cliff vest will be deferred as noted in footnote (2) above.