Irv Rothman - Dec 9, 2021 Form 4 Insider Report for Hewlett Packard Enterprise Co (HPE)

Role
Pres & CEO Financial Services
Signature
Derek Windham as Attorney-in-Fact for Irv Rothman
Stock symbol
HPE
Transactions as of
Dec 9, 2021
Transactions value $
$588,687
Form type
4
Date filed
12/13/2021, 04:46 PM
Previous filing
Sep 8, 2021
Next filing
Dec 17, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HPE Common Stock Award $234K +15.2K +48.17% $15.38 46.9K Dec 9, 2021 Direct F1
transaction HPE Common Stock Tax liability -$80.3K -5.22K -11.14% $15.38 41.6K Dec 9, 2021 Direct
transaction HPE Common Stock Award $230K +15K +35.99% $15.38 56.6K Dec 9, 2021 Direct F2
transaction HPE Common Stock Tax liability -$97K -6.31K -11.14% $15.38 50.3K Dec 9, 2021 Direct
transaction HPE Common Stock Options Exercise $125K +8.2K +16.3% $15.21 58.5K Dec 10, 2021 Direct
transaction HPE Common Stock Tax liability -$58.5K -3.85K -6.57% $15.21 54.7K Dec 10, 2021 Direct
transaction HPE Common Stock Options Exercise $13.8K +909 +1.66% $15.21 55.6K Dec 10, 2021 Direct
transaction HPE Common Stock Tax liability -$6.81K -448 -0.81% $15.21 55.1K Dec 10, 2021 Direct
transaction HPE Common Stock Options Exercise $168K +11.1K +20.06% $15.21 66.2K Dec 10, 2021 Direct
transaction HPE Common Stock Tax liability -$78.9K -5.19K -7.84% $15.21 61K Dec 10, 2021 Direct
transaction HPE Common Stock Options Exercise $13.6K +897 +1.47% $15.21 61.9K Dec 10, 2021 Direct
transaction HPE Common Stock Tax liability -$6.72K -442 -0.71% $15.21 61.5K Dec 10, 2021 Direct
transaction HPE Common Stock Options Exercise $251K +16.5K +26.85% $15.21 78K Dec 10, 2021 Direct
transaction HPE Common Stock Tax liability -$124K -8.13K -10.42% $15.21 69.8K Dec 10, 2021 Direct
transaction HPE Common Stock Options Exercise $8.55K +562 +0.8% $15.21 70.4K Dec 10, 2021 Direct
transaction HPE Common Stock Tax liability -$4.21K -277 -0.39% $15.21 70.1K Dec 10, 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 -8.2K -100% 0 Dec 10, 2021 Common Stock 8.2K Direct F3, F4
transaction HPE Restricted Stock Units Options Exercise -11.1K -48.05% 12K Dec 10, 2021 Common Stock 11.1K Direct F3, F5
transaction HPE Restricted Stock Units Options Exercise -16.5K -32.59% 34.1K Dec 10, 2021 Common stock 16.5K Direct F3, F6
transaction HPE Restricted Stock Units Award +56.9K 56.9K Dec 9, 2021 Common stock 56.9K Direct F3, F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 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.
F3 Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
F4 As previously reported, on 12/10/18 the reporting person was granted 25,738 Restricted Stock Units ("RSUs"), 8,579 of which vested 12/10/19, 8,199 of which vested on 12/10/20, and 8,200 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 66.8933 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 909 vested RSU dividend equivalent rights and a de minimus adjustment of 0.3483 due to fractional rounding of the dividend.
F5 As previously reported, on 12/10/19 the reporting person was granted 34,722 RSUs, 11,574 of which vested on 12/10/20, and 11,061 of which vested on 12/10/21 and 11,062 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 180.4731 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 897 vested RSU dividend equivalent rights and a de minimus adjustment of 0.2183 due to fractional rounding of the dividend.
F6 As previously reported, on 12/10/20 the reporting person was granted 49,505 RSUs, 16,501 of which vested on 12/10/21, and 16,502 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 403.8477 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 562 vested RSU dividend equivalent rights and a de minimus adjustment of 0.7255 due to fractional rounding of the dividend.
F7 On 12/09/21 the reporting person was granted 56,892 RSUs, 18,964 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.