SEC Form 4 · accession 0001179706-16-000575
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
Dec 9, 2016
Accepted (ET)
Dec 13, 2016 · 6:42 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 Stock | Dec 9, 2016 | M | 10,226 | $24.51 | A | 10,336 | D | |
| Common Stock | Dec 9, 2016 | F | 5,337 | $24.51 | D | 4,999 | D | |
| Common Stock | Dec 10, 2016 | M | 4,147 | $24.51 | A | 9,146 | D | |
| Common Stock | Dec 10, 2016 | F | 2,165 | $24.51 | D | 6,981 | D | |
| Common Stock | Dec 11, 2016 | M | 6,134 | $24.51 | A | 13,115 | D | |
| Common Stock | Dec 11, 2016 | F | 3,202 | $24.51 | D | 9,913 | 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 | — | Dec 11, 2016 | M | 6,134 | D | — | — | Common Stock | 6,134 | 0 | D |
| Restricted Stock UnitsF3,F1 | — | Dec 10, 2016 | M | 4,147 | D | — | — | Common Stock | 4,147 | 4,146 | D |
| Restricted Stock UnitsF4,F1 | — | Dec 9, 2016 | M | 10,226 | D | — | — | Common Stock | 10,226 | 20,448 | 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 vested 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 number of derivative securities in column 5 also includes 304 vested dividend equivalent rights accrued but not released since the grant date, and a de minimus adjustment of 0.1064 shares due to the rounding of fractional shares.
- F3As 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 vested 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 number of derivative securities in column 5 also includes 135 vested dividend equivalent rights accrued but not released since the grant date, and a de minimus adjustment of 0.8432 shares due to the rounding of fractional shares.
- F4As previously reported, on 12/09/15 the reporting person was granted 30,303 RSUs, 10,101 of which vested on 12/09/16, and 10,101 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 number of derivative securities in column 5 also includes 125 vested dividend equivalent rights accrued but not released since the grant date, and a de minimus adjustment of 0.8363 shares due to the rounding of fractional shares.