SEC Form 4/A · accession 0001179706-18-000145
Hewlett Packard Enterprise Co · HPE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Philip Davis
Officer — CSO Interim Pres Hybrid IT
Period of report
Jun 1, 2018
Accepted (ET)
Jun 14, 2018 · 5:08 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 1, 2018 | M | 5,871 | $15.53 | A | 5,871 | D | |
| Common StockF8 | Jun 1, 2018 | F | 1,430 | $15.53 | D | 4,441 | 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 | — | Jun 1, 2018 | M | 5,871 | D | — | — | Common Stock | 5,871 | 0 | D |
| Restricted Stock UnitsF3,F1 | — | Apr 4, 2018 | A | 127 | A | — | — | Common Stock | 127 | 29,975 | D |
| Restricted Stock UnitsF4,F1 | — | Apr 4, 2018 | A | 93 | A | — | — | Common Stock | 93 | 21,996 | D |
| Restricted Stock UnitsF5,F1 | — | Apr 4, 2018 | A | 213 | A | — | — | Common Stock | 213 | 50,058 | D |
| Restricted Stock UnitsF6,F1 | — | Apr 4, 2018 | A | 319 | A | — | — | Common Stock | 319 | 74,061 | D |
| Restricted Stock UnitsF7,F1 | — | Apr 4, 2018 | A | 917 | A | — | — | Common Stock | 917 | 212,964 | 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 11,331 restricted stock units ("RSUs"), 5,665 of which vested on 12/09/17, and 5,666 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 dividend equivalent rights being reported include 24.6348 at $17.25 per RSU credited to the reporting person's account on 04/04/18. The number of derivative securities in column 5 includes 205 vested dividend equivalent rights and a de minimus adjustment of 0.4570 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.
- F3As previously reported, on 06/22/16 the reporting person was granted 29,201 RSUs, 14,600 of which will vest on 06/22/18, and 14,601 of which will vest on 06/22/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included is 126.9609 dividend equivalent rights at $17.25 per RSU credited to the reporting person's account on 04/04/18. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.
- F4As previously reported, on 12/07/16 the reporting person was granted 32,217 RSUs, 10,738 of which vested on 12/07/17, 10,738 of which will vest on 12/07/18, and 10,741 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. Also included is 93.3870 dividend equivalent rights at $17.25 per RSU credited to the reporting person's account on 04/04/18. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.
- F5As previously reported, on 01/24/17 the reporting person was granted 73,519 RSUs, 24,505 of which vested on 01/24/18, and 24,507 of which will vest on each of 01/24/19 and 01/24/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included is 213.1043 dividend equivalent rights at $17.25 per RSU credited to the reporting person's account on 04/04/18. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.
- F6As previously reported, on 09/20/17 the reporting person was granted 73,368 RSUs, 24,456 of which will vest on each of 09/20/18, 09/20/19 and 09/20/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included is 318.9913 dividend equivalent rights at $17.25 per RSU credited to the reporting person's account on 04/04/18.
- F7As previously reported, on 12/07/17 the reporting person was granted 210,970 RSUs, 70,323 of which will vest on each of 12/07/18 and 12/07/19, and 70,324 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included is 917.2609 dividend equivalent rights at $17.25 per RSU credited to the reporting person's account on 04/04/18.
- F8The amendment reflects a decrease in Column 4 of 601 shares over withheld for taxes, and Column 5 reflects an increase 601 shares.