SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
Black Thomas E Jr

(Last) (First) (Middle)
C/O HEWLETT PACKARD ENTERPRISE COMPANY
6280 AMERICA CENTER DRIVE

(Street)
SAN JOSE CA 95002

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
05/12/2020
3. Issuer Name and Ticker or Trading Symbol
Hewlett Packard Enterprise Co [ HPE ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
SVP, GM of Storage
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 0 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option (right to buy)(4) 09/17/2015(1) 12/10/2022(2) Common Stock 11,348 12.36 D
Employee Stock Option (right to buy)(4) 12/09/2016(1) 12/09/2023(2) Common Stock 16,999 8.83 D
Employee Stock Option (right to buy)(4) 12/07/2017(1) 12/07/2024(2) Common Stock 8,950 14.67 D
Restricted Stock Units (5) (5) Common Stock 10,073.0453 (3) D
Restricted Stock Units (6) (6) Common Stock 30,582.953 (3) D
Restricted Stock Units (7) (7) Common Stock 27,215.7733 (3) D
Restricted Stock Units (8) (8) Common Stock 19,228.0944 (3) D
Restricted Stock Units (9) (9) Common Stock 51,512.4357 (3) D
Explanation of Responses:
1. This option became exercisable beginning on this date and is fully vested.
2. This option is no longer exercisable beginning on this date.
3. Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
4. 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.
5. On 12/07/17, the reporting person was granted 28,129 restricted stock units ("RSUs"), 9,376 of which vested on each of 12/07/18 and 12/07/19, and 9,377 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of units reported in Column 3 includes 696.0453 dividend equivalent rights accrued but not released since the grant date.
6. On 05/22/18, the reporting person was granted 43,079 RSUs, 14,359 of which vested on 05/22/19, and 14,360 of which will vest on each of 05/22/20 and 05/22/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of units reported in Column 3 includes 1,862.9530 dividend equivalent rights accrued but not released since the grant date.
7. On 10/19/18, the reporting person was granted 38,860 RSUs, 12,953 of which vested on 10/19/19, 12,953 of which will vest on 10/19/20, and 12,954 of which will vest on 10/19/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of units reported in Column 3 includes 1,308.7733 dividend equivalent rights accrued but not released since the grant date.
8. On 12/10/18, the reporting person was granted 27,454 RSUs, 9,151 of which vested on 12/10/19, and 9,151 of which will vest on 12/10/20, and 9,152 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 units reported in Column 3 includes 925.0944 dividend equivalent rights accrued but not released since the grant date.
9. On 12/10/19, the reporting person was granted 50,505 RSUs, 16,835 of which will vest on each of 12/10/20, 12/10/21 and 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 units reported in Column 3 includes 1,007.4357 dividend equivalent rights accrued but not released since the grant date.
Remarks:
Derek Windham as Attorney-in-Fact for Thomas E Black Jr 05/22/2020
** Signature of Reporting Person 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 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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