SEC Form 4 · accession 0001179706-18-000212
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
Dec 7, 2018
Accepted (ET)
Dec 11, 2018 · 6:05 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 Stock | Dec 7, 2018 | M | 10,620 | $14.71 | A | 10,620 | D | |
| Common Stock | Dec 7, 2018 | F | 5,266 | $14.71 | D | 5,354 | D | |
| Common Stock | Dec 7, 2018 | M | 20,400 | $14.71 | A | 25,754 | D | |
| Common Stock | Dec 7, 2018 | F | 10,115 | $14.71 | D | 15,639 | 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 | — | Dec 7, 2018 | M | 10,620 | D | — | — | Common Stock | 10,620 | 10,620 | D |
| Restricted Stock UnitsF3,F1 | — | Dec 7, 2018 | M | 20,400 | D | — | — | Common Stock | 20,400 | 40,797 | 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 12/07/16 the reporting person was granted 18,233 Restricted Stock Units ("RSUs"), 10,227 of which vested on 12/07/17, 10,227 of which vested 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. Also included are 155.8015 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 137.3843 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 393 vested dividend equivalent rights and a de minimus adjustment of 0.5172 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.
- F3As previously reported, on 12/07/17 the reporting person was granted 59,775 RSUs, 19,925 of which vested on 12/07/18, 19,925 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 455.2937 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 401.4739 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 475 vested dividend equivalent rights and a de minimus adjustment of 0.3666 due to fractional rounding of the dividend equivalent rights.