SEC Form 4 · accession 0001179706-18-000140
Hewlett Packard Enterprise Co · HPE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Irv Rothman
Officer — President Financial Services
Period of report
Jun 7, 2018
Accepted (ET)
Jun 11, 2018 · 6:25 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 | Jun 7, 2018 | M | 11,832 | $15.92 | A | 26,514 | D | |
| Common Stock | Jun 7, 2018 | F | 4,054 | $15.92 | D | 22,460 | 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 | — | Apr 4, 2018 | A | 62 | A | — | — | Common Stock | 62 | 14,680 | D |
| Restricted Stock UnitsF3,F1 | — | Apr 4, 2018 | A | 72 | A | — | — | Common Stock | 72 | 16,846 | D |
| Restricted Stock UnitsF4,F1 | — | Jun 7, 2018 | M | 11,832 | D | — | — | Common Stock | 11,832 | 23,663 | 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 12/09/15 the reporting person was granted 28,332 restricted stock units ("RSUs"), 14,165 of which vested on 12/09/17, and 14,167 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 dividend equivalent rights being reported include 61.5957 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.
- F3As previously reported, on 12/07/16 the reporting person was granted 24,675 RSUs, 8,224 of which vested on 12/07/17, 8,224 of which will vest on 12/07/18, and 8,227 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 dividend equivalent rights being reported include 71.5261 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.
- F4As previously reported, on 12/07/17 the reporting person was granted 35,162 RSUs, 11,720 of which early vested on 06/07/18, and 11,721 of which will vest on each of 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 dividend equivalent rights being reported include 152.8783 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 112 vested dividend equivalent rights and a de minimus adjustment of 0.7237 due to fractional rounding of the dividend equivalent rights.