SEC Form 4 · accession 0001179706-18-000129

Hewlett Packard Enterprise Co · HPE

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Henry Gomez

Officer — EVP, CM & CO

Period of report

Jun 1, 2018

Accepted (ET)

Jun 5, 2018 · 8:50 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
Common Stock^F1	Jun 1, 2018	M	60,178	$15.53	A	60,178	D
Common Stock	Jun 1, 2018	F	32,564	$15.53	D	27,614	D
Common Stock	Jun 1, 2018	M	26,912	$15.53	A	54,526	D
Common Stock	Jun 1, 2018	S	14,563	$15.33	D	39,963	D
Common Stock^F2	Jun 1, 2018	A	94,049	$15.53	A	134	D
Common Stock^F3,F4	Jun 4, 2018	S	53,750	$15.5065	D	80,262	D
Common Stock	Jun 2, 2018	M	16,152	$15.53	A	96,414	D
Common Stock	Jun 2, 2018	F	8,741	$15.53	D	87,673	D
Common Stock	Jun 2, 2018	M	16,269	$15.53	A	103,942	D
Common Stock	Jun 2, 2018	F	8,804	$15.53	D	95,138	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Restricted Stock Units^F6,F5	—	Jun 1, 2018	M	60,178	D	—	—	Common Stock	60,178	D
Restricted Stock Units^F7,F5	—	Jun 1, 2018	M	26,912	D	—	—	Common Stock	26,912	D
Restricted Stock Units^F8,F5	—	Jun 2, 2018	M	16,152	D	—	—	Common Stock	16,152	D
Restricted Stock Units^F9,F5	—	Jun 2, 2018	M	16,269	D	—	—	Common Stock	162,689	D

Explanation of responses

F1To clarify, 01/23/18 was the earliest transaction date required to be reported on the Form 4 submitted 01/25/18.
F2On 12/09/15 the reporting person was granted performance adjusted restricted stock units ("PARSUs") subject to certain return on invested capital performance conditions and/or relative total stockholder return conditions being met at the time of vesting. These PARSUs which were originally scheduled to vest 50% after 2 and 3 years subject to performance, and issued in Issuer's common stock, vested early on 06/01/18.
F3The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 12/01/16 to sell these shares to satisfy taxes associated with the PARSUs early vesting on 06/01/18.
F4The price in Column 4 is a weighted average price. The prices actually paid ranged from $15.38 to $15.63. 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.
F5Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
F6As previously reported, on 11/02/15 the reporting person was granted 103,520 Restricted Stock Units ("RSUs), 34,506 of which vested on 11/02/16, 58,070 of which vested on 11/02/17, and 58,071 of which vested early on 06/01/18. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The amount reported in Column 5 includes 252.4826 dividend equivalent rights at $17.25 per RSU credited to the reporting person's account on 04/04/18. The number of derivative securities in column 5 also includes 2,107 vested dividend equivalent rights and a de minimus adjustment of 0.2368 due to fractional rounding of the dividend equivalent rights. RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.
F7As previously reported, on 12/09/15 the reporting person was granted 46,296 RSUs, 15,432 of which vested on 12/09/16, 25,969 of which vested on 12/09/17, and 25,970 of which vested early on 06/01/18. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The amount reported in Column 5 includes 112.9130 dividend equivalent rights at $17.25 per RSU credited to the reporting person's account on 04/04/18. The number of derivative securities in column 5 also includes 942 vested dividend equivalent rights and a de minimus adjustment of 0.5870 due to fractional rounding of the dividend equivalent rights. RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.
F8As previously reported, on 12/07/16 the reporting person was granted 55,713 RSUs, 31,251 of which vested on 12/07/17, and 31,253 of which was to vest on each of 12/07/18 and 12/07/19. Unvested RSUs and Dividend equivalent rights were pro-rated in connection with the reporting person's resignation, and resulted in forfeiture of 46,878 unvested RSUs and 981 unvested Dividend equivalent rights on 06/02/18. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included is 271.7652 dividend equivalent rights at $17.25 per RSU credited to the reporting person's account on 04/04/18. The number of derivative securities in column 5 also includes 524 vested dividend equivalent rights and a de minimus adjustment of 0.32660 due to fractional rounding of the dividend equivalent rights. RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.
F9As previously reported, on 12/07/17 the reporting person was granted 96,695 RSUs, 32,231 of which was to vest on 12/07/18, and 32,232 of which was to vest on each of 12/07/19 and 12/07/20. Unvested RSUs and Dividend equivalent rights were pro-rated in connection with the reporting person's resignation, and resulted in forfeiture of 80,579 unvested RSUs and 761 unvested Dividend equivalent rights on 06/02/18. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included is 420.4130 dividend equivalent rights at $17.25 per RSU credited to the reporting person's account on 04/04/18. The number of derivative securities in column 5 also includes 153 vested dividend equivalent rights and a de minimus adjustment of 0.24520 due to fractional rounding of the dividend equivalent rights.