Irv Rothman - 09 Dec 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
Issuer symbol
HPE
Transactions as of
09 Dec 2021
Net transactions value
+$588,687
Form type
4
Filing time
13 Dec 2021, 16:46:04 UTC
Previous filing
08 Sep 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 $234,268 +15,232 +48% $15.38 46,852 09 Dec 2021 Direct F1
transaction HPE Common Stock Tax liability $80,253 -5,218 -11% $15.38 41,634 09 Dec 2021 Direct
transaction HPE Common Stock Award $230,485 +14,986 +36% $15.38 56,620 09 Dec 2021 Direct F2
transaction HPE Common Stock Tax liability $97,002 -6,307 -11% $15.38 50,313 09 Dec 2021 Direct
transaction HPE Common Stock Options Exercise $124,722 +8,200 +16% $15.21 58,513 10 Dec 2021 Direct
transaction HPE Common Stock Tax liability $58,498 -3,846 -6.6% $15.21 54,667 10 Dec 2021 Direct
transaction HPE Common Stock Options Exercise $13,826 +909 +1.7% $15.21 55,576 10 Dec 2021 Direct
transaction HPE Common Stock Tax liability $6,814 -448 -0.81% $15.21 55,128 10 Dec 2021 Direct
transaction HPE Common Stock Options Exercise $168,238 +11,061 +20% $15.21 66,189 10 Dec 2021 Direct
transaction HPE Common Stock Tax liability $78,909 -5,188 -7.8% $15.21 61,001 10 Dec 2021 Direct
transaction HPE Common Stock Options Exercise $13,643 +897 +1.5% $15.21 61,898 10 Dec 2021 Direct
transaction HPE Common Stock Tax liability $6,723 -442 -0.71% $15.21 61,456 10 Dec 2021 Direct
transaction HPE Common Stock Options Exercise $250,980 +16,501 +27% $15.21 77,957 10 Dec 2021 Direct
transaction HPE Common Stock Tax liability $123,612 -8,127 -10% $15.21 69,830 10 Dec 2021 Direct
transaction HPE Common Stock Options Exercise $8,548 +562 +0.8% $15.21 70,392 10 Dec 2021 Direct
transaction HPE Common Stock Tax liability $4,213 -277 -0.39% $15.21 70,115 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 -8,200 -100% 0 10 Dec 2021 Common Stock 8,200 Direct F3, F4
transaction HPE Restricted Stock Units Options Exercise -11,061 -48% 11,957 10 Dec 2021 Common Stock 11,061 Direct F3, F5
transaction HPE Restricted Stock Units Options Exercise -16,501 -33% 34,125 10 Dec 2021 Common stock 16,501 Direct F3, F6
transaction HPE Restricted Stock Units Award +56,892 56,892 09 Dec 2021 Common stock 56,892 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.