HPE 10-Q Quarterly Report Jan. 31, 2021 | Alphaminr
Hewlett Packard Enterprise Co

HPE 10-Q Quarter ended Jan. 31, 2021

HEWLETT PACKARD ENTERPRISE CO
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TABLE OF CONTENTS
Part I. Financial InformationItem 1. Financial StatementsNote 1: Overview and Summary Of Significant Accounting PoliciesNote 2: Segment InformationNote 3: Transformation ProgramsNote 4: Retirement Benefit PlansNote 5: Taxes on EarningsNote 6: Balance Sheet DetailsNote 7: Accounting For Leases As A LessorNote 8: GoodwillNote 9: Fair ValueNote 10: Financial InstrumentsNote 11: BorrowingsNote 12: Stockholders' EquityNote 13: Net Earnings Per ShareNote 14: Litigation and ContingenciesItem 2. Management's Discussion and Analysis Of Financial Condition and Results Of OperationsItem 3. Quantitative and Qualitative Disclosures About Market RiskItem 4. Controls and ProceduresPart II. Other InformationItem 1. Legal ProceedingsItem 1A. Risk FactorsItem 2. Unregistered Sales Of Equity Securities and Use Of ProceedsItem 5. Other InformationItem 6. Exhibits

Exhibits

2.1 Separation and Distribution Agreement, dated as of October31, 2015, by and among Hewlett-Packard Company, Hewlett Packard Enterprise Company and the Other Parties Thereto 8-K 001-37483 2.1 November 5, 2015 2.2 Transition Services Agreement, dated as of November1, 2015, by and between Hewlett-Packard Company and Hewlett Packard Enterprise Company 8-K 001-37483 2.2 November 5, 2015 2.3 Employee Matters Agreement, dated as of October31, 2015, by and between Hewlett-Packard Company and Hewlett Packard Enterprise Company 8-K 001-37483 2.4 November 5, 2015 2.4 Real Estate Matters Agreement, dated as of October31, 2015, by and between Hewlett-Packard Company and Hewlett Packard Enterprise Company 8-K 001-37483 2.5 November 5, 2015 2.5 Master Commercial Agreement, dated as of November1, 2015, by and between Hewlett-Packard Company and Hewlett Packard Enterprise Company 8-K 001-37483 2.6 November 5, 2015 2.6 Information Technology Service Agreement, dated as of November1, 2015, by and between Hewlett-Packard Company and HPEnterprise Services,LLC 8-K 001-37483 2.7 November 5, 2015 2.7 Agreement and Plan of Merger, dated as of May24, 2016, among Hewlett Packard Enterprise Company, Computer Sciences Corporation, Everett SpinCo, Inc. and Everett Merger Sub, Inc. 8-K 001-37483 2.1 May 26, 2016 2.8 Separation and Distribution Agreement, dated as of May24, 2016, between Hewlett Packard Enterprise Company and Everett SpinCo, Inc. 8-K 001-37483 2.2 May 26, 2016 2.9 Agreement and Plan of Merger, dated as of September 7, 2016, by and among Hewlett Packard Enterprise Company, Micro Focus International plc, Seattle SpinCo, Inc., Seattle Holdings, Inc. and Seattle MergerSub, Inc. 8-K 001-37483 2.1 September 7, 2016 2.10 Separation and Distribution Agreement, dated as of September 7, 2016, by and between Hewlett Packard Enterprise Company and Seattle SpinCo, Inc. 8-K 001-37483 2.2 September 7, 2016 2.11 Employee Matters Agreement, dated as of September 7, 2016, by and among Hewlett Packard Enterprise Company, Seattle SpinCo, Inc. and Micro Focus International plc 8-K 001-37483 2.3 September 7, 2016 2.12 First Amendment to the Agreement and Plan of Merger, dated as of November 2, 2016, among Hewlett Packard Enterprise Company, Computer Sciences Corporation, Everett SpinCo, Inc., New Everett Merger Sub Inc., and Everett Merger Sub, Inc. 8-K 001-37483 2.1 November 2, 2016 2.13 First Amendment to the Separation and Distribution Agreement, dated as of November 2, 2016, between Hewlett Packard Enterprise Company and Everett SpinCo, Inc. 8-K 001-37483 2.2 November 2, 2016 2.14 Agreement and Plan of Merger, dated as of March 6, 2017, by and among Hewlett Packard Enterprise Company, Nimble Storage, Inc. and Nebraska Merger Sub,Inc. 8-K 001-37483 99.1 March 7, 2017 2.15 Tender and Support Agreement, dated as of March 6, 2017, by and among Hewlett Packard Enterprise Company, Nebraska Merger Sub, Inc. and each of the persons set forth on Schedule A thereto 8-K 001-37483 99.2 March 7, 2017 2.16 Employee Matters Agreement, dated March 31, 2017, by and among Computer Sciences Corporation, HewlettPackard Enterprise Company and Everett SpinCo, Inc. 8-K 001-38033 2.1 April 6, 2017 2.17 Tax Matters Agreement, dated March 31, 2017, by and among Computer Sciences Corporation, Hewlett Packard Enterprise Company and Everett SpinCo, Inc. 8-K 001-38033 2.2 April 6, 2017 2.18 IP Matters Agreement, dated March 31, 2017, by and among Hewlett Packard Enterprise Company, Hewlett Packard Enterprise Development LP and Everett SpinCo, Inc. 8-K 001-38033 2.3 April 6, 2017 2.19 Transition Services Agreement, dated March 31, 2017, between Hewlett Packard Enterprise Company and Everett SpinCo, Inc. 8-K 001-38033 2.4 April 6, 2017 2.20 Real Estate Matters Agreement, dated March 31, 2017, between Hewlett Packard Enterprise Company and Everett SpinCo, Inc. 8-K 001-38033 2.5 April 6, 2017 2.21 Fourth Amendment to the Separation and Distribution Agreement, dated March 31, 2017, by and between Hewlett Packard Enterprise Company and Everett SpinCo, Inc. 8-K 001-38033 2.6 April 6, 2017 2.22 Tax Matters Agreement, dated September 1, 2017, by and among Hewlett Packard Enterprise Company, Seattle SpinCo, Inc., and Micro Focus International plc 8-K 001-37483 2.1 September 1, 2017 2.23 Intellectual Property Matters Agreement, dated September 1, 2017, by and among Hewlett Packard Enterprise Company, Hewlett Packard Enterprise Development LP, and Seattle SpinCo, Inc. 8-K 001-37483 2.2 September 1, 2017 2.24 Transition Services Agreement, dated September 1, 2017, by and among Hewlett Packard Enterprise Company and Seattle SpinCo, Inc. 8-K 001-37483 2.3 September 1, 2017 2.25 Real Estate Matters Agreement, dated September 1, 2017, by and among Hewlett Packard Enterprise Company and Seattle SpinCo, Inc. 8-K 001-37483 2.4 September 1, 2017 2.26 Agreement and Plan of Merger, dated as of May 16, 2019, by and among Hewlett Packard Enterprise Company, Cray Inc. and Canopy Merger Sub, Inc. 8-K 001-37483 2.1 May 17, 2019 2.27 Agreement and Plan of Merger, dated as of July 11, 2020, by and among Hewlett Packard Enterprise Company, Santorini Merger Sub, Inc., Silver Peak Systems, Inc., and certain other parties thereto 8-K 001-37483 2.1 July 13, 2020 3.1 Registrant's Amended and Restated Certificate of Incorporation 8-K 001-37483 3.1 November 5, 2015 3.2 Registrant's Amended and Restated Bylaws effective October31, 2015 8-K 001-37483 3.2 November 5, 2015 3.3 Certificate of Designation of Series A Junior Participating Redeemable Preferred Stock of Hewlett Packard Enterprise Company 8-K 001-37483 3.1 March 20, 2017 3.4 Certificate of Designation of Series B Junior Participating Redeemable Preferred Stock of Hewlett Packard Enterprise Company 8-K 001-37483 3.2 March 20, 2017 4.1 Indenture, dated as of October9, 2015, between Hewlett Packard Enterprise Company and The Bank of New York Mellon Trust Company, N.A., as Trustee 8-K 001-37483 4.1 October 13, 2015 4.2 Fourth Supplemental Indenture, dated as of October9, 2015, between Hewlett Packard Enterprise Company and The Bank of New York Mellon Trust Company, N.A., as Trustee, relating to Hewlett Packard Enterprise Company's 4.400% notes due 2022 8-K 001-37483 4.5 October 13, 2015 4.3 Fifth Supplemental Indenture, dated as of October9, 2015, between Hewlett Packard Enterprise Company and The Bank of New York Mellon Trust Company, N.A., as Trustee, relating to Hewlett Packard Enterprise Company's 4.900% notes due 2025 8-K 001-37483 4.6 October 13, 2015 4.4 Sixth Supplemental Indenture, dated as of October9, 2015, between Hewlett Packard Enterprise Company and The Bank of New York Mellon Trust Company, N.A., as Trustee, relating to Hewlett Packard Enterprise Company's 6.200% notes due 2035 8-K 001-37483 4.7 October 13, 2015 4.5 Seventh Supplemental Indenture, dated as of October9, 2015, between Hewlett Packard Enterprise Company and The Bank of New York Mellon Trust Company, N.A., as Trustee, relating to Hewlett Packard Enterprise Company's 6.350% notes due 2045 8-K 001-37483 4.8 October 13, 2015 4.6 Eleventh Supplemental Indenture, dated as of September 19, 2018, between Hewlett Packard Enterprise Company and The Bank of New York Mellon Trust Company, N.A., as Trustee, relating to Hewlett Packard Enterprise Company's 3.500% notes due 2021 8-K 001-37483 4.2 September 19, 2018 4.7 Twelfth Supplemental Indenture, dated as of September 19, 2018, between Hewlett Packard Enterprise Company and The Bank of New York Mellon Trust Company, N.A., as Trustee, relating to Hewlett Packard Enterprise Company's floating rate notes due 2021 8-K 001-37483 4.3 September 19, 2018 4.8 Thirteenth Supplemental Indenture, dated as of September 13, 2019, between Hewlett Packard Enterprise Company and The Bank of New York Mellon Trust Company, N.A., as trustee, relating to Hewlett Packard Enterprise Company's 2.250% notes due 2023 8-K 001-37483 4.2 September 13, 2019 4.9 Fourteenth Supplemental Indenture, dated as of September 13, 2019, between Hewlett Packard Enterprise Company and The Bank of New York Mellon Trust Company, N.A., as trustee, relating to Hewlett Packard Enterprise Company's floating rate Notes due 2021 8-K 001-37483 4.3 September 13, 2019 4.10 Fifteenth Supplemental Indenture, dated as of April 9, 2020, between Hewlett Packard Enterprise Company and The Bank of New York Mellon Trust Company, N.A., as Trustee, relating to Hewlett Packard Enterprise Company's 4.450% notes due 2023 8-K 001-37483 4.2 April 9, 2020 4.11 Sixteenth Supplemental Indenture, dated as of April 9, 2020, between Hewlett Packard Enterprise Company and The Bank of New York Mellon Trust Company, N.A., as Trustee, relating to Hewlett Packard Enterprise Company's 4.650% notes due 2024 8-K 001-37483 4.3 April 9, 2020 4.12 Seventeenth Supplemental Indenture, dated as of July 17, 2020, between Hewlett Packard Enterprise Company and The Bank of New York Mellon Trust Company, N.A., as Trustee, relating to Hewlett Packard Enterprise Company's 1.450% notes due 2024 8-K 001-37483 4.2 July 17, 2020 4.13 Eighteenth Supplemental Indenture, dated as of July 17, 2020, between Hewlett Packard Enterprise Company and The Bank of New York Mellon Trust Company, N.A., as Trustee, relating to Hewlett Packard Enterprise Company''s 1.750% notes due 2026 8-K 001-37483 4.3 July 17, 2020 4.14 Registration Rights Agreement, dated as of October9, 2015, among Hewlett Packard Enterprise Company, Hewlett-Packard Company, and the representatives of the initial purchasers of the Notes 8-K 001-37483 4.12 October 13, 2015 4.15 Form of Indenture between Hewlett Packard Enterprise Company and The Bank of New York Mellon Trust Company, N.A., as Trustee S-3ASR 333-222102 4.5 December 15, 2017 4.16 Description of the Registrant's Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934 10-K 001-37483 4.16 December 10, 2020 10.1 Hewlett Packard Enterprise Company 2015 Stock Incentive Plan (amended and restated January 25, 2017)* 8-K 001-37483 10.1 January 30, 2017 10.2 Hewlett Packard Enterprise Company Severance and Long-Term Incentive Change in Control Plan for Executive Officers* 10-12B/A 001-37483 10.4 September 28, 2015 10.3 Hewlett Packard Enterprise Grandfathered Executive Deferred Compensation Plan* S-8 333-207679 4.4 October 30, 2015 10.4 Form of Non-Qualified Stock Option Grant Agreement* 8-K 001-37483 10.4 November 5, 2015 10.5 Form of Restricted Stock Units Grant Agreement* 8-K 001-37483 10.7 November 5, 2015 10.6 Form of Performance-Contingent Non-Qualified Stock Option Grant Agreement* 8-K 001-37483 10.8 November 5, 2015 10.7 Form of Non-Employee Director Stock Options Grant Agreement* 8-K 001-37483 10.9 November 5, 2015 10.8 Form of Non-Employee Director Restricted Stock Unit Grant Agreement* 8-K 001-37483 10.10 November 5, 2015 10.9 Form of Restricted Stock Units Grant Agreement, as amended and restated effective January1, 2016* 10-Q 001-37483 10.14 March 10, 2016 10.10 Form of Performance-Adjusted Restricted Stock Units Grant Agreement, as amended and restated effective January1, 2016* 10-Q 001-37483 10.15 March 10, 2016 10.11 Description of Amendment to Equity Awards (incorporated by reference to Item5.02 of the 8-K filed on May26, 2016)* 8-K 001-37483 10.1 May 26, 2016 10.12 Niara, Inc. 2013 Equity Incentive Plan* S-8 333-216481 4.3 March 6, 2017 10.13 Nimble Storage, Inc. 2008 Equity Incentive Plan, as amended* S-8 333-217349 4.3 April 18, 2017 10.14 Nimble Storage, Inc. 2013 Equity Incentive Plan (Amended and Restated May 23, 2014)* S-8 333-217349 4.4 April 18, 2017 10.15 SimpliVity Corporation 2009 Stock Plan* S-8 333-217438 4.3 April 24, 2017 10.16 Silicon Graphics International Corp. 2005 Equity Incentive Plan, as amended* 10-K 000-51333 10.3 September 10, 2012 10.17 Cloud Technology Partners, Inc. 2011 Equity Incentive Plan* S-8 333-221254 4.3 November 1, 2017 10.18 Amendment to the Cloud Technology Partners, Inc. 2011 Equity Incentive Plan* S-8 333-221254 4.4 November 1, 2017 10.19 Plexxi Inc. 2011 Stock Plan* S-8 333-226181 4.3 July 16, 2018 10.20 Hewlett Packard Enterprise Company 2015 Employee Stock Purchase Plan (as amended and restated on July 18, 2018, effective as of October 8, 2015) 10-Q 001-37483 10.29 September 4, 2018 10.21 Form of Restricted Stock Units Grant Agreement 10-Q 001-37483 10.30 September 4, 2018 10.22 Hewlett Packard Enterprise Executive Deferred Compensation Plan (as amended and restated December 1, 2018)* 10-K 001-37483 10.27 December 12, 2018 10.23 First Amendment to the Hewlett Packard Enterprise Company Severance and Long-Term Incentive Change in Control Plan for Executive Officers* 10-K 001-37483 10.29 December 12, 2018 10.24 BlueData Software Inc. 2012 Stock Incentive Plan* S-8 333-229449 4.3 January 31, 2019 10.25 Aircraft Time Sharing Agreement, dated as of December 13, 2019, by and between Hewlett Packard Enterprise and Antonio Neri* 10-Q 001-37483 10.32 March 9, 2020 10.26 Five-Year Credit Agreement dated as of August 16, 2019, by and among Hewlett Packard Enterprise Company, the lenders Party thereto, JPMorgan Chase Bank, N.A., as Administrative Processing Agent and Co-Administrative Agent and Citibank, N.A., as Co-Administrative Agent 8-K 001-37483 10.1 August 20, 2019 10.27 Cray Inc. 2013 Equity Incentive Plan (as amended and restated June 11, 2019)* S-8 333-234033 4.3 October 1, 2019 10.28 Termination and Mutual Release Agreement dated as of October 30, 2019 by and between Hewlett Packard Enterprise Company and HP Inc. 10-K 001-37483 10.31 December 13, 2019 10.29 Silver Peak Systems, Inc. (fka Cheyenne Networks, Inc.) 2004 Stock Plan, as amended* S-8 333-249731 4.3 October 29, 2020 10.30 Silver Peak Systems, Inc. 2014 Equity Incentive Plan, as amended* S-8 333-249731 4.4 October 29, 2020 10.31 Offer Letter between Hewlett Packard Enterprise Company and Peter Ungaro dated May 16, 2019* 10.32 Transition and Separation Agreement dated March 1, 2021 by and between Peter Ungaro and Hewlett Packard Enterprise Company* 31.1 Certification of Chief Executive Officer pursuant to Rule13a- 14(a) and Rule15d-14(a) of the Securities Exchange Act of 1934, as amended 31.2 Certification of Chief Financial Officer pursuant to Rule13a- 14(a) and Rule15d-14(a) of the Securities Exchange Act of 1934, as amended 32 Certification of Chief Executive Officer and Chief Financial Officer pursuant to 18U.S.C. 1350, as adopted pursuant to Section906 of the Sarbanes-Oxley Act of 2002