SEC Form 4 · accession 0001179706-18-000209
Hewlett Packard Enterprise Co · HPE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan Richard May
Officer — EVP, HR
Period of report
Dec 7, 2018
Accepted (ET)
Dec 11, 2018 · 6:04 pm EST
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 StockF1 | Dec 7, 2018 | M | 29,503 | $14.71 | A | 29,503 | D | |
| Common Stock | Dec 7, 2018 | F | 14,629 | $14.71 | D | 14,874 | D | |
| Common Stock | Dec 7, 2018 | M | 35,998 | $14.71 | A | 50,872 | D | |
| Common Stock | Dec 7, 2018 | F | 17,848 | $14.71 | D | 33,024 | D | |
| Common StockF2 | holding | — | — | — | 110,727 | I | By Joint Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF4,F3 | — | Dec 7, 2018 | M | 29,503 | D | — | — | Common Stock | 29,503 | 29,503 | D |
| Restricted Stock UnitsF5,F3 | — | Dec 7, 2018 | M | 35,998 | D | — | — | Common Stock | 35,998 | 71,996 | D |
Explanation of responses
- F1The total direct beneficial ownership reflects a decrease of 110,727 shares due to the transfer of 110,727 shares into a Joint Trust with the reporting person's spouse on 09/06/18.
- F2The total indirect beneficial ownership reflects an increase of 110,727 shares due to the transfer of 110,727 shares previously reported as being held directly by the reporting person into a Joint Trust with the reporting person's spouse on 09/06/18.
- F3Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
- F4As previously reported, on 12/07/16, the reporting person was granted 50,648 Restricted Stock Units "RSUs"), 28,410 of which vested on 12/07/17, 28,411 of which vested on 12/07/18, and 28,412 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 are 432.8089 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 381.6470 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 1,092 vested dividend equivalent rights and a de minimus adjustment of 0.5743 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.
- F5As previously reported, on 12/07/17, the reporting person was granted 105,485 RSUs, 35,161 of which vested on 12/07/18, and 35,162 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. Also included are 808.4572 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 708.4813 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 837 vested dividend equivalent rights and a de minimus adjustment of 0.2423 due to fractional rounding of the dividend equivalent rights.