SEC Form 4 · accession 0001179706-18-000214
Hewlett Packard Enterprise Co · HPE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John F Schultz
Officer — EVP, CLAA & SEC
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 StockF1 | Dec 7, 2018 | M | 32,454 | $14.71 | A | 323,496 | D | |
| Common Stock | Dec 7, 2018 | F | 16,092 | $14.71 | D | 307,404 | D | |
| Common Stock | Dec 7, 2018 | M | 47,998 | $14.71 | A | 355,402 | D | |
| Common Stock | Dec 7, 2018 | F | 23,799 | $14.71 | D | 331,603 | 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 UnitsF3,F2 | — | Dec 7, 2018 | M | 32,454 | D | — | — | Common Stock | 32,454 | 32,453 | D |
| Restricted Stock UnitsF4,F2 | — | Dec 7, 2018 | M | 47,998 | D | — | — | Common Stock | 47,998 | 95,995 | D |
Explanation of responses
- F1The total beneficial ownership includes 500.4169 shares at $14.488 per share acquired under the Issuer's 2015 Employee Stock Purchase Plan ("ESPP") on 10/31/18 with respect to shares held under the ESPP. The total beneficial ownership includes the acquisition of 4.1990 shares at $14.77 per share received on 07/05/18 through dividends paid in shares, 3.7820 shares at $16.75 per share received on 10/03/18 through dividends paid in shares.
- F2Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
- F3As previously reported, on 12/07/16 the reporting person was granted 55,713 Restricted Stock Units ("RSUs"), 31,251 of which vested on 12/07/17, 31,253 of which vested on 12/07/18, and 31,253 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 476.0951 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 419.8164 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 1,201 vested dividend equivalent rights and a de minimus adjustment of 0.4151 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.
- F4As previously reported, on 12/07/17 the reporting person was granted 140,647 RSUs, 46,882 of which vested on 12/07/18, 46,882 of which will vest on 12/07/19, and 46,883 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 are 1,071.2788 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 944.6440 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 1,116 vested dividend equivalent rights and a de minimus adjustment of 0.9818 due to fractional rounding of the dividend equivalent rights.