Sec Form 4 Filing - Neri Antonio F @ Hewlett Packard Enterprise Co - 2021-10-15

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Neri Antonio F
2. Issuer Name and Ticker or Trading Symbol
Hewlett Packard Enterprise Co [ HPE]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
President and CEO
(Last) (First) (Middle)
C/O HEWLETT PACKARD ENTERPRISE COMPANY, 11445 COMPAQ CENTER DRIVE WEST
3. Date of Earliest Transaction (MM/DD/YY)
10/15/2021
(Street)
HOUSTON, TX77070
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 10/15/2021 M 88,136 A $ 8.92 482,176 ( 3 ) D
Common Stock 10/15/2021 S 88,136 ( 1 ) D $ 15.2591 ( 2 ) 394,040 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units ( 4 ) 01/06/2021 A 3,945.504 ( 5 ) ( 5 ) ( 5 ) Common Stock 3,945.504 ( 5 ) 128,825.504 D
Restricted Stock Units ( 4 ) 01/06/2021 A 7,687.4222 ( 6 ) ( 6 ) ( 6 ) Common Stock 7,687.4222 ( 6 ) 244,080.422 D
Restricted Stock Units ( 4 ) 01/06/2021 A 17,523.6906 ( 7 ) ( 7 ) ( 7 ) Common Stock 17,523.6906 ( 7 ) 533,200.69 D
Employee Stock Option (right to buy) ( 8 ) $ 8.92 10/15/2021 M 88,136 12/11/2014( 9 ) 12/11/2021( 10 ) Common Stock 88,136 $ 0 0 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Neri Antonio F
C/O HEWLETT PACKARD ENTERPRISE COMPANY
11445 COMPAQ CENTER DRIVE WEST
HOUSTON, TX77070
President and CEO
Signatures
Derek Windham as Attorney-in-Fact for Antonio F. Neri 10/19/2021
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 09/15/21.
( 2 )The price in Column 4 is a weighted average price. The prices actually ranged from $15.2500 to $15.2850. 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 at each price within the range.
( 3 )As of 05/19/21, the reporting person no longer has a reportable beneficial interest in 273,027 shares, originally included in the reporting person's prior ownership reports. The reporting person disclaims beneficial ownership to, and no longer reports as beneficially owned, any such securities.
( 4 )Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
( 5 )As previously reported, on 12/10/18 the reporting person was granted 348,318 Restricted Stock Units ("RSUs"), 116,106 of which vested on each of 12/10/19 and 12/10/20, and 116,106 of which will vest on 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 1,157.2027 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, 876.2717 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21, 964.8698 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 947.1598 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21.
( 6 )As previously reported, on 12/10/19 the reporting person was granted 339,331 RSUs, 113,110 of which vested on 12/10/20, 113,110 of which will vest on 12/10/21, and 113,111 of which will vest on 12/10/22. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 2,254.6944 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, 1,707.3283 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21, 1,879.9529 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 1,845.4466 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21.
( 7 )As previously reported, on 12/10/20 the reporting person was granted 515,677 RSUs, 171,892 of which will vest on each of 12/10/21 and 12/10/22, and 171,893 of which will vest on 12/10/23. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 5,139.6379 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, 3,891.9019 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21, 4,285.4044 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 4,206.7464 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21.
( 8 )As reported in the Registration Statements on Form 10 filed by Issuer with the SEC, in connection with the spin-offs of Everett SpinCo, Inc. on 04/01/17 and Seattle SpinCo, Inc. on 09/01/17, equity-based awards granted by Issuer, prior to the spin-offs were converted to adjust the award in a manner intended to preserve the aggregate intrinsic value of the original award as measured immediately before and immediately after the spin-offs, subject to rounding. The adjusted equity award is otherwise subject to the same terms and conditions that applied to the original award immediately prior to the spin-offs, unless otherwise noted. The reporting person's equity based awards reflect the conversion adjustments.
( 9 )This option became exercisable beginning on this date.
( 10 )This option is no longer exercisable beginning on this date.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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