SEC Form 4 · accession 0001179706-17-000132
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
May 23, 2017
Accepted (ET)
May 25, 2017 · 5:18 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 | May 23, 2017 | M | 10,352 | $18.86 | A | 10,352 | D | |
| Common Stock | May 23, 2017 | F | 3,892 | $18.86 | D | 6,460 | D | |
| Common StockF1 | May 25, 2017 | S | 6,460 | $18.99 | D | 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 UnitsF3,F2 | — | May 23, 2017 | M | 10,352 | D | — | — | Common Stock | 10,352 | 0 | D |
| Restricted Stock UnitsF4,F2 | — | Apr 5, 2017 | A | 19 | A | — | — | Common Stock | 19 | 5,492 | D |
| Restricted Stock UnitsF5,F2 | — | Apr 5, 2017 | A | 137 | A | — | — | Common Stock | 137 | 38,565 | D |
| Restricted Stock UnitsF6,F2 | — | Apr 5, 2017 | A | 97 | A | — | — | Common Stock | 97 | 27,093 | D |
| Restricted Stock UnitsF7,F2 | — | Apr 5, 2017 | A | 87 | A | — | — | Common Stock | 87 | 24,160 | 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 03/10/17.
- F2Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
- F3As previously reported, on 05/23/14 the reporting person was granted 12,500 restricted stock units ("RSUs"), 4,166 of which vested on 05/23/15, 7,494 of which vested on 05/23/16, and 9,867 of which vested 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 number of derivatives in column 9 includes 35.8299 dividend equivalent rights at $17.90 per RSU credited to the reporting person's account on 04/05/17. The number of derivative securities in column 5 includes 485 vested dividend equivalent rights and a de minimus adjustment of 0.8241 due to fractional rounding of the dividend equivalent rights.
- 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 vested on 12/10/16, and 5,283 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 derivatives in column 5 reflects 19.1841 dividend equivalent rights at $17.90 per RSU credited to the reporting person's account on 04/05/17.
- F5As previously reported, on 11/02/15 the reporting person was granted 43,133 RSUs, 14,377 of which vested on 11/02/16, 18,931 of which will vest on 11/02/17, and 18,931 of which will vest on 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 derivatives in column 5 reflects 137.4877 dividend equivalent rights at $17.90 per RSU credited to the reporting person's account on 04/05/17.
- F6As previously reported, on 12/09/15 the reporting person was granted 30,303 RSUs, 10,101 of which vested on 12/09/16, 13,299 of which will vest on 12/09/17, and 13,300 of which will vest on 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 derivatives in column 5 reflects 96.5885 dividend equivalent rights at $17.90 per RSU credited to the reporting person's account on 04/05/17.
- F7As previously reported, on 12/07/16 the reporting person was granted 18,233 RSUs, 8,001 of which will vest on 12/07/17, and 8,002 of which will vest on each of 12/07/18 and 12/17/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivatives in column 5 reflects 87.1726 dividend equivalent rights at $17.90 per RSU credited to the reporting person's account on 04/05/17.