JOHN F. SCHULTZ - 09 Dec 2021 Form 4 Insider Report for Hewlett Packard Enterprise Co (HPE)

Role
EVP, COLO
Signature
Derek Windham as Attorney-in-Fact for John F. Schultz
Issuer symbol
HPE
Transactions as of
09 Dec 2021
Net transactions value
+$2,183,782
Form type
4
Filing time
13 Dec 2021, 16:44:44 UTC
Previous filing
26 Oct 2021
Next filing
17 Dec 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HPE Common Stock Award $1,015,111 +66,002 +508% $15.38 78,990 09 Dec 2021 Direct F1, F2
transaction HPE Common Stock Tax liability $391,344 -25,445 -32% $15.38 53,545 09 Dec 2021 Direct
transaction HPE Common Stock Award $733,349 +47,682 +89% $15.38 101,227 09 Dec 2021 Direct F3
transaction HPE Common Stock Tax liability $346,511 -22,530 -22% $15.38 78,697 09 Dec 2021 Direct
transaction HPE Common Stock Options Exercise $565,462 +37,177 +47% $15.21 115,874 10 Dec 2021 Direct
transaction HPE Common Stock Tax liability $269,856 -17,742 -15% $15.21 98,132 10 Dec 2021 Direct
transaction HPE Common Stock Options Exercise $61,950 +4,073 +4.2% $15.21 102,205 10 Dec 2021 Direct
transaction HPE Common Stock Tax liability $29,568 -1,944 -1.9% $15.21 100,261 10 Dec 2021 Direct
transaction HPE Common Stock Options Exercise $560,139 +36,827 +37% $15.21 137,088 10 Dec 2021 Direct
transaction HPE Common Stock Tax liability $262,129 -17,234 -13% $15.21 119,854 10 Dec 2021 Direct
transaction HPE Common Stock Options Exercise $44,231 +2,908 +2.4% $15.21 122,762 10 Dec 2021 Direct
transaction HPE Common Stock Tax liability $20,701 -1,361 -1.1% $15.21 121,401 10 Dec 2021 Direct
transaction HPE Common Stock Options Exercise $904,600 +59,474 +49% $15.21 180,875 10 Dec 2021 Direct
transaction HPE Common Stock Tax liability $398,167 -26,178 -14% $15.21 154,697 10 Dec 2021 Direct
transaction HPE Common Stock Options Exercise $30,755 +2,022 +1.3% $15.21 156,719 10 Dec 2021 Direct
transaction HPE Common Stock Tax liability $13,537 -890 -0.57% $15.21 155,829 10 Dec 2021 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction HPE Restricted Stock Units Options Exercise -37,177 -100% 0 10 Dec 2021 Common Stock 37,177 Direct F4, F5
transaction HPE Restricted Stock Units Award +2,078 +1.5% 138,057 07 Jul 2021 Common Stock 2,078 Direct F4, F6
transaction HPE Restricted Stock Units Options Exercise -36,827 -48% 39,734 10 Dec 2021 Common Stock 36,827 Direct F4, F7
transaction HPE Restricted Stock Units Options Exercise -59,474 -33% 122,992 10 Dec 2021 Common Stock 59,474 Direct F4, F8
transaction HPE Restricted Stock Units Award +162,549 162,549 09 Dec 2021 Common Stock 162,549 Direct F4, F9
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The total beneficial ownership includes 509.2293 shares at $15.2190 per share acquired under the Issuer's 2015 Employee Stock Purchase Plan ("ESPP") on 04/30/21 with respect to shares held under the ESPP, and 556.8300 shares at $14.6500 per share acquired under the ESPP on 10/31/21 with respect to shares held under the ESPP. The total beneficial ownership includes the acquisition of 5.0840 shares at $14.5584 per share received on 07/07/21 through dividends paid in shares, and 5.0960 shares at $14.6419 per share received on 10/06/21 through dividends paid in shares.
F2 As previously reported, on 12/10/18 the reporting person was granted performance adjusted restricted stock units ("PARSUs") subject to Non-GAAP Net Income and relative total stockholder return conditions being met at the time of vesting. These PARSUs vest 50% after 2 and 3 years subject to performance and are issued in Issuer's common stock.
F3 On 12/10/19 the reporting person was granted PARSUs subject to Non-GAAP Net Income and relative total stockholder return conditions being met at the time of vesting. These PARSUs vest 50% after 2 and 3 years subject to performance and are issued in Issuer's common stock.
F4 Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
F5 As previously reported, on 12/10/18 the reporting person was granted 111,531 Restricted Stock Units ("RSUs"), 37,177 of which vested on each of 12/10/19 and 12/10/20, and 37,177 of which vested 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 308.9501 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 303.2794 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21. The number of derivative securities in column 5 also includes 4,073 vested RSU dividend equivalent rights and a de minimus adjustment of 0.6545 due to fractional rounding of the dividend.
F6 As previously reported, on 04/03/19, the reporting person was granted 126,183 RSUs, all of which will cliff vest on 04/03/22. 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 1,048.6122 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 1,029.3651 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21.
F7 As previously reported, on 12/10/19 the reporting person was granted 110,480 RSUs, 36,826 of which vested on 12/10/20, 36,827 of which vested on 12/10/21, and 36,827 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 612.0831 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 600.8484 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21. The number of derivative securities in column 5 also includes 2,908 vested RSU dividend equivalent rights and a de minimus adjustment of 0.0963 due to fractional rounding of the dividend.
F8 As previously reported, on 12/10/20 the reporting person was granted 178,424 RSUs, 59,474 of which vested on 12/10/21, and 59,475 of which will vest on each of 12/10/22 and 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 1,482.7479 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 1,455.5323 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21. The number of derivative securities in column 5 also includes 2,022 vested RSU dividend equivalent rights and a de minimus adjustment of 0.8113 due to fractional rounding of the dividend.
F9 On 12/09/21 the reporting person was granted 162,549 RSUs, 54,183 of which will vest on each of 12/09/22, 12/09/23 and 12/09/24. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.