Irv Rothman - 09 Dec 2022 Form 4 Insider Report for Hewlett Packard Enterprise Co (HPE)

Role: Pres & CEO Financial Services
Signature: Ki Hoon Kim as Attorney-in-Fact for Irv Rothman
Issuer symbol: HPE
Transactions as of: 09 Dec 2022
Net transactions value: +$823,052
Form type: 4
Filing time: 13 Dec 2022, 20:46:19 UTC
Previous filing: 12 Dec 2022
Next filing: 19 Dec 2022
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	HPE	Common Stock	Options Exercise	$316,459	+19,595		$16.15	19,595	09 Dec 2022	Direct
transaction	HPE	Common Stock	Tax liability	$161,888	-10,024	-51%	$16.15	9,571	09 Dec 2022	Direct
transaction	HPE	Common Stock	Options Exercise	$199,049	+12,325	+129%	$16.15	21,896	10 Dec 2022	Direct
transaction	HPE	Common Stock	Tax liability	$97,643	-6,046	-28%	$16.15	15,850	10 Dec 2022	Direct
transaction	HPE	Common Stock	Options Exercise	$272,224	+16,856	+106%	$16.15	32,706	10 Dec 2022	Direct
transaction	HPE	Common Stock	Tax liability	$133,270	-8,252	-25%	$16.15	24,454	10 Dec 2022	Direct
transaction	HPE	Common Stock	Award	$210,564	+13,038	+53%	$16.15	37,492	09 Dec 2022	Direct	F1
transaction	HPE	Common Stock	Tax liability	$107,720	-6,670	-18%	$16.15	30,822	09 Dec 2022	Direct
transaction	HPE	Common Stock	Award	$665,897	+41,232	+134%	$16.15	72,054	09 Dec 2022	Direct	F2
transaction	HPE	Common Stock	Tax liability	$340,620	-21,091	-29%	$16.15	50,963	09 Dec 2022	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		-12,325	-100%		0	10 Dec 2022	Common stock	12,325		Direct	F3, F4
transaction	HPE	Restricted Stock Units	Options Exercise		-16,856	-50%		16,855	10 Dec 2022	Common Stock	16,856		Direct	F3, F5
transaction	HPE	Restricted Stock Units	Options Exercise		-19,595	-33%		39,186	09 Dec 2022	Common Stock	19,595		Direct	F3, F6

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	On 12/10/19 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 12/10/20 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 12/10/19 the reporting person was granted 34,722 restricted stock units ("RSUs"), 11,574 of which vested on 12/10/20, 11,061 of which vested on 12/10/21, and 11,062 of which vested 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 also includes 1,263 vested dividend equivalent rights and a de minimus adjustment of 0.8822 due to fractional rounding of the dividend equivalent rights.
F5	As previously reported, on 12/10/20 the reporting person was granted 49,505 RSUs, 16,501 of which vested on 12/10/21, 15,771 of which vested on 12/10/22 and 15,772 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 also includes 1,085 vested dividend equivalent rights and a de minimus adjustment of 0.1734 due to fractional rounding of the dividend equivalent rights.
F6	As previously reported, on 12/09/21 the reporting person was granted 56,892 RSUs, 18,964 of which vested on 12/09/22, and 18,964 of which will vest on each of 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. The number of derivative securities in column 5 also includes 631 vested dividend equivalent rights and a de minimus adjustment of 0.9087 due to fractional rounding of the dividend equivalent rights.