SEC Form 4 · accession 0001179706-18-000074
Hewlett Packard Enterprise Co · HPE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Margaret C Whitman
Director
Period of report
Apr 11, 2018
Accepted (ET)
Apr 12, 2018 · 5:41 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 | Apr 11, 2018 | M | 337,000 | $8.73 | A | 2,169,760 | D | |
| Common StockF1,F2 | Apr 11, 2018 | S | 337,000 | $17.2092 | D | 1,832,760 | D | |
| Common Stock | Apr 12, 2018 | M | 100,039 | $8.73 | A | 1,932,799 | D | |
| Common StockF1,F3 | Apr 12, 2018 | S | 100,039 | $17.429 | D | 1,832,760 | D | |
| Common Stock | Apr 12, 2018 | M | 236,961 | $8.62 | A | 2,069,721 | D | |
| Common StockF1,F3 | Apr 12, 2018 | S | 236,961 | $17.429 | D | 1,832,760 | D | |
| Common StockF4 | holding | — | — | — | 66 | I | By Living Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Options (right to buy)F5,F6 | $8.73 | Apr 11, 2018 | M | 337,000 | D | Dec 14, 2013 | Feb 3, 2019 | Common Stock | 337,000 | 100,039 | D |
| Employee Stock Options (right to buy)F5,F6 | $8.73 | Apr 12, 2018 | M | 100,039 | D | Dec 14, 2013 | Feb 3, 2019 | Common Stock | 100,039 | 0 | D |
| Employee Stock Options (right to buy)F5,F6 | $8.62 | Apr 12, 2018 | M | 236,961 | D | Dec 14, 2013 | Feb 3, 2019 | Common Stock | 236,961 | 2,487,632 | D |
| Restricted Stock UnitsF8,F7 | — | Apr 5, 2018 | A | 1,285 | A | — | — | Common Stock | 1,285 | 302,595 | 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 03/02/18.
- F2The price in Column 4 is a weighted average price. The prices actually paid ranged from $17.095 to $17.30. Upon request, the reporting person will provide to the Issuer, any security holder of the Issuer, or the SEC staff information regarding the number of shares purchased at each price within the range.
- F3The price in Column 4 is a weighted average price. The prices actually paid ranged from $17.3301 to $17.48. Upon request, the reporting person will provide to the Issuer, any security holder of the Issuer, or the SEC staff information regarding the number of shares purchased at each price within the range.
- F4There is no reportable change since the last filing. This is a reiteration of holdings only.
- F5This option became exercisable beginning on this date.
- F6This option is no longer exercisable beginning on this date.
- F7Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
- F8As previously reported, on 12/07/16 the reporting person was granted 263,371 Restricted Stock Units ("RSUs"), 147,739 of which vested on 12/07/17, 147,739 of which will vest on 12/07/18, and 147,741 of which will vest on 12/07/19. Also included is 1,284.6957 dividend equivalent rights at $17.25 per RSU credited to the reporting person's account on 04/05/18. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.