SEC Form 4 · accession 0001179706-18-000134

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

Jun 1, 2018

Accepted (ET)

Jun 5, 2018 · 8:51 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	Jun 1, 2018	M	72,595	$8.62	A	72,595	D
Common Stock^F1,F2	Jun 1, 2018	S	72,595	$15.403	D	0	D
Common Stock	Jun 1, 2018	M	17,000	$8.83	A	17,000	D
Common Stock^F1,F2	Jun 1, 2018	S	17,000	$15.403	D	0	D
Common Stock	Jun 1, 2018	M	25,073	$15.53	A	25,073	D
Common Stock	Jun 1, 2018	F	8,802	$15.53	D	16,271	D
Common Stock	Jun 1, 2018	M	17,616	$15.53	A	33,887	D
Common Stock	Jun 1, 2018	F	8,587	$15.53	D	25,300	D
Common Stock^F1,F3	Jun 5, 2018	S	25,300	$15.5456	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
Employee Stock Option (Right to Buy)^F6,F4,F5	$8.62	Jun 1, 2018	M	72,595	D	Nov 2, 2016	Nov 2, 2023	Common Stock	72,595	0	D
Employee Stock Option (Right to Buy)^F6,F4,F5	$8.83	Jun 1, 2018	M	17,000	D	Dec 9, 2016	Dec 9, 2023	Common Stock	17,000	0	D
Restricted Stock Units^F8,F7	—	Jun 1, 2018	M	25,073	D	—	—	Common Stock	25,073	0	D
Restricted Stock Units^F9,F7	—	Jun 1, 2018	M	17,616	D	—	—	Common Stock	17,616	0	D
Restricted Stock Units^F10,F7	—	Jan 3, 2018	A	193	A	—	—	Common Stock	193	20,946	D
Restricted Stock Units^F11,F7	—	Jan 3, 2018	A	565	A	—	—	Common Stock	565	60,340	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 03/01/18.
F10As previously reported, on 12/07/16 the reporting person was granted 18,233 RSUs, 10,227 of which vested on 12/07/17, 10,227 of which will vest on 12/07/18, and 10,228 of which will vest on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The 193.2970 dividend equivalent rights being reported include 104.3622 at $14.70 per RSU credited to the reporting person's account on 01/03/18, and 88.9348 at $17.25 per RSU credited to the reporting person's account on 04/04/18. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.
F11As previously reported, on 12/07/17 the reporting person was granted 59,775 RSUs, 19,925 of which will vest on each of 12/07/18, 12/07/19, and 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The 564.8658 dividend equivalent rights being reported include 304.9745 at $14.70 per RSU credited to the reporting person's account on 01/03/18, and 259.8913 at $17.25 per RSU credited to the reporting person's account on 04/04/18.
F2The price in Column 4 is a weighted average price. The prices actually paid ranged from $15.33 to $15.49. 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 $15.45 to $15.635. 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.
F4This option became exercisable beginning on this date.
F5This option is no longer exercisable beginning on this date.
F6This option reflects post spin-off conversion adjustments previously reported.
F7Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
F8As previously reported, on 11/02/15 the reporting person was granted 43,133 Restricted Stock Units ("RSUs"), 14,377 of which vested on 11/02/16, 24,196 of which vested on 11/02/17, and 24,196 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 123.4490 dividends equivalent rights at $14.70 per RSU credited to the reporting person's account on 01/03/18, and 105.20 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 877 vested dividend equivalent rights and a de minimus adjustment of 0.3510 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 12/09/15 the reporting person was granted 30,303 RSUs, 10,101 of which vested on 12/09/16, 16,997 of which vested on 12/09/17, and 17,000 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 86.7347 dividends equivalent rights at $14.70 per RSU credited to the reporting person's account on 01/03/18, and 73.9130 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 616 vested dividend equivalent rights and a de minimus adjustment of 0.3523 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.