SEC Form 4 · accession 0001179706-19-000025
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
Feb 21, 2019
Accepted (ET)
Feb 25, 2019 · 5:08 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 | Feb 21, 2019 | M | 68,798 | $8.92 | A | 400,401 | D | |
| Common StockF1,F2 | Feb 21, 2019 | S | 68,798 | $16.2591 | D | 331,603 | D | |
| Common Stock | Feb 21, 2019 | M | 249,754 | $8.62 | A | 581,357 | D | |
| Common StockF1,F2 | Feb 21, 2019 | S | 249,754 | $16.2591 | D | 331,603 | D | |
| Common Stock | Feb 21, 2019 | M | 159,457 | $8.83 | A | 491,060 | D | |
| Common StockF1,F2 | Feb 21, 2019 | S | 159,457 | $16.2591 | D | 331,603 | D | |
| Common Stock | Feb 21, 2019 | M | 111,816 | $14.67 | A | 443,419 | D | |
| Common StockF1,F2 | Feb 21, 2019 | S | 111,816 | $16.2591 | D | 331,603 | D | |
| Common Stock | Feb 22, 2019 | M | 33,797 | $8.92 | A | 365,400 | D | |
| Common StockF1 | Feb 22, 2019 | S | 33,797 | $16.50 | D | 331,603 | D | |
| Common Stock | Feb 22, 2019 | M | 52,590 | $8.62 | A | 384,193 | D | |
| Common StockF1 | Feb 22, 2019 | S | 52,590 | $16.50 | D | 331,603 | D | |
| Common Stock | Feb 22, 2019 | M | 36,048 | $8.83 | A | 367,651 | D | |
| Common StockF1 | Feb 22, 2019 | S | 36,048 | $16.50 | D | 331,603 | D | |
| Common Stock | Feb 22, 2019 | M | 34,393 | $14.67 | A | 365,996 | D | |
| Common StockF1 | Feb 22, 2019 | S | 34,393 | $16.50 | D | 331,603 | D | |
| Common StockF1 | Feb 22, 2019 | S | 34,177 | $16.50 | D | 297,426 | 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 UnitsF4,F3 | — | Jan 2, 2019 | A | 261 | A | — | — | Common Stock | 261 | 32,714 | D |
| Restricted Stock UnitsF5,F3 | — | Jan 2, 2019 | A | 784 | A | — | — | Common Stock | 784 | 96,779 | D |
| Restricted Stock UnitsF6,F3 | — | Jan 2, 2019 | A | 932 | A | — | — | Common Stock | 932 | 112,463 | D |
| Employee Stock Option (Right to Buy)F7,F8 | $8.92 | Feb 21, 2019 | M | 68,798 | D | Dec 11, 2014 | Dec 11, 2021 | Common Stock | 68,798 | 68,799 | D |
| Employee Stock Option (Right to Buy)F7,F8 | $8.62 | Feb 21, 2019 | M | 249,754 | D | Nov 2, 2016 | Nov 2, 2023 | Common Stock | 249,754 | 249,754 | D |
| Employee Stock Option (Right to Buy)F7,F8 | $8.83 | Feb 21, 2019 | M | 159,457 | D | Dec 9, 2016 | Dec 9, 2023 | Common Stock | 159,457 | 159,457 | D |
| Employee Stock Option (Right to Buy)F7,F8 | $14.67 | Feb 21, 2019 | M | 111,816 | D | Dec 7, 2017 | Dec 7, 2024 | Common Stock | 111,816 | 223,632 | D |
| Employee Stock Option (Right to Buy)F7,F8 | $8.92 | Feb 22, 2019 | M | 33,797 | D | Dec 11, 2014 | Dec 11, 2021 | Common Stock | 33,797 | 35,002 | D |
| Employee Stock Option (Right to Buy)F7,F8 | $8.62 | Feb 22, 2019 | M | 52,590 | D | Nov 2, 2016 | Nov 2, 2023 | Common Stock | 52,590 | 197,164 | D |
| Employee Stock Option (Right to Buy)F7,F8 | $8.83 | Feb 22, 2019 | M | 36,048 | D | Dec 9, 2016 | Dec 9, 2023 | Common Stock | 36,048 | 123,409 | D |
| Employee Stock Option (Right to Buy)F7,F8 | $14.67 | Feb 22, 2019 | M | 34,393 | D | Dec 7, 2017 | Dec 7, 2024 | Common Stock | 34,393 | 189,239 | D |
Explanation of responses
- F1The sale reported on this Form 4 was effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 12/18/18.
- F2The price in Column 4 is a weighted average price. The prices actually paid ranged from $16.25 to $16.29. Upon request, the reporting person will provide to the Issuer, any security holder of the Issuer, or the SEC staff information regarding the number of shares purchased at each price within the range.
- 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 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 261.2156 dividend equivalent rights at $13.46 per RSU credited to the reporting person's account on 01/02/19. RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.
- F5As 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 783.6971 dividend equivalent rights at $13.46 per RSU credited to the reporting person's account on 01/02/19.
- F6As previously reported, on 12/10/18 the reporting person was granted 111,531 RSUs, 37,177 of which will vest on each of 12/10/19, 12/10/20, and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 932.1870 dividend equivalent rights at $13.46 per RSU credited to the reporting person's account on 01/02/19.
- F7This option became exercisable beginning on this date.
- F8This option is no longer exercisable beginning on this date.