What changed in this filing

/stocks — the workspaceLOADING

Item 9A. Controls and Procedures

2021-12-10 compared with 2020-12-10 · 87 added, 71 removed, 240 unchanged (40% of the section changed)

11 unchanged sentences

Other Information.

Effective December 8, 2021, HPE and Keerti Melkote, former President of HPE's Intelligent Edge business unit, entered into a retirement agreement (the “Agreement”) that amended Mr.

Melkote’s outstanding restricted stock unit (“RSU”) award agreements to provide that the underlying RSU awards shall be eligible to continue vesting on their current vesting schedule after Mr.

Melkote’s December 31, 2021 retirement, subject to (i) all existing performance vesting criteria for performance-adjusted RSUs, (ii) Mr.

Melkote’s entry into a standard release of claims and (iii) Mr.

Melkote’s ongoing adherence to standard non-competition and non-solicitation covenants for the duration of the RSU awards’ vesting schedule.

The foregoing description of the Agreement is qualified entirely by the Agreement itself, which is attached hereto as Exhibit 10.32 and incorporated by reference herein.

The following disclosure is being made under Section 13(r) of the Exchange Act:

On March 2, 2021, the U.S.

Secretary of State designated the Russian Federal Security Service (“FSB”) as a party subject to the provisions of U.S.

Executive Order No.

13382 issued in 2005 (“Executive Order 13382”).

On the same day, the U.S.

Department of the Treasury’s Office of Foreign Assets Control updated General License 1B (“General License 1B”) which generally authorizes U.S.

companies to engage in certain licensing, permitting, certification, notification and related transactions with the FSB as may be required for the importation, distribution or use of information technology products in the Russian Federation.

Our local subsidiary is required to engage on a regular basis with the FSB as a licensing authority and file documents in order to conduct business within the Russian Federation.

There are no gross revenues or net profits directly associated with any such dealings by us with the FSB and all such dealings are explicitly authorized by General License 1B.

We plan to continue these activities as required to continue to conduct business in the Russian Federation to the extent permitted by applicable law.

On April 15, 2021, the U.S.

Government issued an executive order on Blocking Property with Respect to Specified Harmful Foreign Activities of the Government of the Russian Federation (“Executive Order 14024”), implementing additional U.S.

sanctions against the Russian government and against Russian actors that threaten U.S.

interests, including certain technology companies that support the Russian Intelligence Service.

Secretary of the Treasury designated Pozitiv

Teknolodzhiz, AO (“Positive Technologies”) under Executive Order 14024 and Executive Order 13382.

Prior to its designation, HPE’s local Russian subsidiary, occasionally through distributors and resellers, had sold equipment to and entered into service contracts with Positive Technologies.

HPE’s local subsidiary had also entered into an original equipment manufacturing agreement with Positive Technologies and approved it as a reseller.

Following the sanctions designation, our local subsidiary immediately initiated procedures to terminate its relationship with Positive Technologies.

HPE does not plan to engage in any further transactions with this entity, except wind down activities that are authorized by OFAC going forward.

In fiscal 2021, the total cash received, excluding sales tax, from our business with Positive Technologies since its designation was $33,412, of which $1,755 has been recognized as revenue and the remaining $31,657 has been recorded as deferred revenue.

There are no identifiable net profits associated with HPE’s relationship with Positive Technologies for this reporting period.

For a summary of our revenue recognition policies, see "Revenue Recognition" described in Note 1, "Overview and Summary of Significant Accounting Policies" to the Consolidated Financial Statements in Item 8 of Part II, which is incorporated herein by reference.

Directors, Executive Officers and Corporate Governance.

1 unchanged sentence

The following information is included in Hewlett Packard Enterprise's Proxy Statement related to its 2022 Annual Meeting of Stockholders to be filed within 120 days after Hewlett Packard Enterprise's fiscal year end of October 31, 2021 (the "Proxy Statement") and is incorporated herein by reference:

• Information regarding directors of Hewlett Packard Enterprise including those who are standing for reelection and any persons nominated to become directors of Hewlett Packard Enterprise is set forth under "Corporate Governance—Board Leadership Structure" and/or "Proposals to be Voted On—Proposal No.

• Information regarding directors of Hewlett Packard Enterprise including those who are standing for reelection and any persons nominated to become directors of Hewlett Packard Enterprise is set forth under "Our Board—Board Leadership Structure" and/or "Proposals to be Voted On—Proposal No.

1—Election of Directors."

• Information regarding Hewlett Packard Enterprise's Audit Committee and designated "audit committee financial experts" is set forth under "Board Structure and Committee Composition—Audit Committee".

• Information on Hewlett Packard Enterprise's code of business conduct and ethics for directors, officers and employees, also known as the "Standards of Business Conduct," and on Hewlett Packard Enterprise's Corporate Governance Guidelines is set forth under "Corporate Governance Principles and Board Matters".

• Information regarding Hewlett Packard Enterprise's Audit Committee and designated "audit committee financial experts" is set forth under "Our Board—Committees of the Board—Audit Committee."

Executive Compensation.

1 unchanged sentence

• Information regarding Hewlett Packard Enterprise's compensation of its named executive officers is set forth under "Executive Compensation."

• Information regarding Hewlett Packard Enterprise's compensation of its directors is set forth under "Director Compensation and Stock Ownership Guidelines".

• The report of Hewlett Packard Enterprise's HR and Compensation Committee is set forth under "HR and Compensation Committee Report on Executive Compensation".

• Information regarding Hewlett Packard Enterprise's compensation of its directors is set forth under "Our Board—Director Compensation and Stock Ownership Guidelines."

• The report of Hewlett Packard Enterprise's HR and Compensation Committee is set forth under "Executive Compensation—HRC Committee Report on Executive Compensation."

Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters.

The following information is included in the Proxy Statement and is incorporated herein by reference:

• Information regarding security ownership of certain beneficial owners, directors and executive officers is set forth under "Common Stock Ownership of Certain Beneficial Owners and Management".

• Information regarding security ownership of certain beneficial owners, directors and executive officers is set forth under "Governance—Stock Ownership Information—Common Stock Ownership of Certain Beneficial Owners and Management."

• Information regarding Hewlett Packard Enterprise's equity compensation plans, including both stockholder approved plans and non-stockholder approved plans, is set forth in the section entitled "Equity Compensation Plan Information."

1 unchanged sentence

The following information is included in the Proxy Statement and is incorporated herein by reference:

• Information regarding transactions with related persons is set forth under "Transactions with Related Persons".

• Information regarding director independence is set forth under "Corporate Governance Principles and Board Matters—Director Independence".

• Information regarding transactions with related persons is set forth under "Governance—Related Persons Transactions Policies and Procedures."

• Information regarding director independence is set forth under "Governance—Director Independence."

Principal Accounting Fees and Services.

Information regarding principal accounting fees and services is set forth under "Principal Accounting Fees and Services" in the Proxy Statement, which information is incorporated herein by reference.

Information regarding principal accounting fees and services is set forth under "Audit-Related Matters—Principal Accounting Fees and Services" in the Proxy Statement, which information is incorporated herein by reference.

Exhibits, Financial Statement Schedules.

9 unchanged sentences

Notes to Consolidated Financial Statements

Quarterly Summary

Financial Statement Schedules:

24 unchanged sentences

8-K 001-37483 2.7 November 5, 2015

2.7 Agreement and Plan of Merger, dated as of May 24, 2016, among Hewlett Packard Enterprise Company, Computer Sciences Corporation, Everett SpinCo, Inc.

and Everett Merger Sub, Inc.

2.7 Agreement and Plan of Merger, dated as of May 24, 2016, by and among Hewlett Packard Enterprise Company, Everett SpinCo, Inc.

, Computer Sciences Corporation, and Everett Merger Sub, Inc.

8-K 001-37483 2.1 May 26, 2016

2.8 Separation and Distribution Agreement, dated as of May 24, 2016, between Hewlett Packard Enterprise Company and Everett SpinCo, Inc.

2.8 Separation and Distribution Agreement, dated as of May 24, 2016, by and 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.

2.9 Agreement and Plan of Merger, dated as of September 7, 2016, by and among Hewlett Packard Enterprise Company, Seattle SpinCo, Inc., Micro Focus International plc, Seattle Holdings, Inc.

and Seattle MergerSub, Inc.

2 unchanged sentences

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.

2.11 Employee Matters Agreement, dated as of September 7, 2016, by and between 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.

2.12 First Amendment to the Agreement and Plan of Merger, dated as of November 2, 2016, by and among Hewlett Packard Enterprise Company, Everett SpinCo, Inc., New Everett Merger Sub Inc., Computer Sciences Corporation, 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.

2.13 First Amendment to the Separation and Distribution Agreement, dated as of November 2, 2016, by and 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.

2.14 Agreement and Plan of Merger, dated as of March 6, 2017, by and among Hewlett Packard Enterprise Company, Nebraska Merger Sub, Inc., and Nimble Storage, Inc.

8-K 001-37483 99.1 March 7, 2017

6 unchanged sentences

Exhibit(s) Filing Date

2.16 Employee Matters Agreement, dated March 31, 2017, by and among Computer Sciences Corporation, Hewlett Packard Enterprise Company and Everett SpinCo, Inc.

2.16 Employee Matters Agreement, dated March 31, 2017, by and between Hewlett Packard Enterprise Company, Everett SpinCo, Inc., and Computer Sciences Corporation,

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.

2.17 Tax Matters Agreement, dated March 31, 2017, by and among Hewlett Packard Enterprise Company, Everett SpinCo, Inc., and Computer Sciences Corporation

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.

2.18 IP Matters Agreement, dated March 31, 2017, by and between 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.

2.19 Transition Services Agreement, dated March 31, 2017, by and 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.

2.20 Real Estate Matters Agreement, dated March 31, 2017, by and between Hewlett Packard Enterprise Company and Everett SpinCo, Inc.

8-K 001-38033 2.5 April 6, 2017

4 unchanged sentences

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.

2.23 Intellectual Property Matters Agreement, dated September 1, 2017, by and between 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.

2.24 Transition Services Agreement, dated September 1, 2017, by and between 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.

2.25 Real Estate Matters Agreement, dated September 1, 2017, by and between 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.

2.26 Agreement and Plan of Merger, dated as of May 16, 2019, by and among Hewlett Packard Enterprise Company, Canopy Merger Sub, Inc., and Cray Inc.

8-K 001-37483 2.1 May 17, 2019

5 unchanged sentences

8-K 001-37483 3.2 November 5, 2015

3.3 Certificate of Designation of Series A Junior Participating Redeemable Preferred Stoc k of Hewlett Packard Enterprise Company

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 Stoc k of Hewlett Packard Enterprise Company

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

1 unchanged sentence

8-K 001-37483 4.1 October 13, 2015

4.2 Fourth Supplemental Indenture, dated as of October 9, 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

HEWLETT PACKARD ENTERPRISE COMPANY AND SUBSIDIARIES

2 unchanged sentences

Exhibit(s) Filing Date

8-K 001-37483 4.5 October 13, 2015

4.3 Fifth Supplemental Indenture, dated as of October 9, 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

4 unchanged sentences

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% n otes 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

4.6 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

1 unchanged sentence

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

4.8 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

HEWLETT PACKARD ENTERPRISE COMPANY AND SUBSIDIARIES

Incorporated by Reference

Number Exhibit Description Form File No.

Exhibit(s) Filing Date

4.9 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 October 9, 2015, among Hewlett Packard Enterprise Company, Hewlett-Packard Company, and the representatives of the initial purchasers of the Notes

4.10 Registration Rights Agreement, dated as of October 9, 2015, by and 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

2 unchanged sentences

4.12 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*

10.2 Hewlett Packard Enterprise Company 2021 Stock Incentive Plan*

S-8 333-255839 4.4 May 6, 2021

10.3 Hewlett Packard Enterprise Severance and Long-Term Incentive Change in Control Plan for Executive Officers*

10-12B/A 001-37483 10.4 September 28, 2015

3 unchanged sentences

8-K 001-37483 10.4 November 5, 2015

10.5 Form of Restricted Stock Unit s Grant Agreement*

8-K 001-37483 10.7 November 5, 2015

HEWLETT PACKARD ENTERPRISE COMPANY AND SUBSIDIARIES

Incorporated by Reference

Number Exhibit Description Form File No.

Exhibit(s) Filing Date

10.6 Form of Performance-Contingent Non-Qualified Stock Option Grant Agreement*

2 unchanged sentences

8-K 001-37483 10.9 November 5, 2015

10.8 Form of Non-Employee Director Restricted Stock Unit Grant Agreement*

10.8 Form of Non-Employee Director Restricted Stock Units Grant Agreement*

8-K 001-37483 10.10 November 5, 2015

1 unchanged sentence

10-Q 001-37483 10.14 March 10, 2016

10.10 Form of Performance-Adjusted Restricted Stock Unit s Grant Agreement, as amended and restated effective January 1, 2016*

10.10 Form of Performance-Adjusted Restricted Stock Units Grant Agreement, as amended and restated effective January 1, 2016*

10-Q 001-37483 10.15 March 10, 2016

7 unchanged sentences

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

10.14 SimpliVity Corporation 2009 Stock Plan*

3 unchanged sentences

10-K 000-51333 10.3 September 10, 2012

10.17 Cloud Technology Partner s , Inc.

10.16 Cloud Technology Partners, Inc.

2011 Equity Incentive Plan*

6 unchanged sentences

S-8 333-226181 4.3 July 16, 2018

HEWLETT PACKARD ENTERPRISE COMPANY AND SUBSIDIARIES

Incorporated by Reference

Number Exhibit Description Form File No.

Exhibit(s) Filing Date

10.20 Hewlett Packard Enterprise Company 2015 Employee Stock Purchase Pla n (as amended and restated on July 18, 2018, effective as of October 8, 2015)

10.19 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

8 unchanged sentences

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

10.24 Five-Year Credit Agreement dated as of August 16, 2019, 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

2 unchanged sentences

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.

10.26 Termination and Mutual Release Agreement dated as of October 30, 2019 by and between HP Inc.

and Hewlett Packard Enterprise Company

10-K 001-37483 10.31 December 13, 2019

10.27 Aircraft Time Sharing Agreement, dated as of December 13, 2019, between Hewlett Packard Enterprise and Antonio Neri*

10-Q 001-37483 10.32 March 9, 2020

10.28 Silver Peak Systems, Inc.

4 unchanged sentences

S-8 333-249731 4.4 October 29, 2020

HEWLETT PACKARD ENTERPRISE COMPANY AND SUBSIDIARIES

Incorporated by Reference

Number Exhibit Description Form File No.

Exhibit(s) Filing Date

10.30 2021 Stock Incentive Plan – Form of Restricted Stock Units Grant Agreement*‡

10.31 2021 Stock Incentive Plan – Form of Performance-Adjusted Restricted Stock Units Grant Agreement*‡

10.32 Retirement Agreement dated as of December 8 , 2021 by and between Keerti Melkote and Hewlett Packard Enterprise Company*‡

21 Subsidiaries of Hewlett Packard Enterprise Company‡

11 unchanged sentences

101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document‡

HEWLETT PACKARD ENTERPRISE COMPANY AND SUBSIDIARIES

Incorporated by Reference

Number Exhibit Description Form File No.

Exhibit(s) Filing Date

104 The cover page from the Company’s Annual Report on Form 10-K for the fiscal year ended October 31, 2021, formatted in Inline XBRL (included within the Exhibit 101 attachments)

3 unchanged sentences

The registrant agrees to furnish to the Commission supplementally upon request a copy of any instrument with respect to long-term debt not filed herewith as to which the total amount of securities authorized thereunder does not exceed 10% of the total assets of the registrant and its subsidiaries on a consolidated basis.

Form 10-K Summary

Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

33 unchanged sentences

Reiner Director December 10, 2021

/s/ Lip-Bu Tan Director December 10, 2020

/s/ Mary Agnes Wilderotter Director December 10, 2021

1 unchanged sentence

Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.

What changed 10-K

Item 9A. Controls and Procedures