SEC Form 4 · accession 0001179706-18-000213
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
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 | 8,541 | $14.71 | A | 31,001 | D | |
| Common Stock | Dec 7, 2018 | F | 2,733 | $14.71 | D | 28,268 | D | |
| Common Stock | Dec 9, 2018 | M | 14,883 | $14.71 | A | 43,151 | D | |
| Common Stock | Dec 9, 2018 | F | 5,771 | $14.71 | D | 37,380 | 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 9, 2018 | M | 8,541 | D | — | — | Common Stock | 8,541 | 0 | D |
| Restricted Stock UnitsF3,F1 | — | Dec 7, 2018 | M | 14,883 | D | — | — | Common Stock | 14,883 | 8,542 | D |
| Restricted Stock UnitsF4,F1 | — | Jul 4, 2018 | A | 336 | A | — | — | Common Stock | 336 | 23,999 | 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 vested on 12/09/18. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 107.9071 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 95.1515 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 716 vested dividend equivalent rights and a de minimus adjustment of 0.0651 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 12/07/16 the reporting person was granted 24,675 RSUs, 8,224 of which vested on 12/07/17, 8,224 of which vested 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. Also included are 125.3038 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 110.4918 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 317 vested dividend equivalent rights and a de minimus adjustment of 0.7446 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.
- 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. Also included are 178.5528 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 157.4463 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18.