Statement of Changes in Beneficial Ownership (4)
October 04 2021 - 5:43PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Brickman Christian A. |
2. Issuer Name and Ticker or Trading Symbol
Sally Beauty Holdings, Inc.
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SBH
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President & CEO |
(Last)
(First)
(Middle)
C/O SALLY BEAUTY HOLDINGS, INC., 3001 COLORADO BLVD. |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/30/2021 |
(Street)
DENTON, TX 76210
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 9/30/2021 | | F | | 10399 (1) | D | $16.85 | 460737 | D | |
Common Stock | 9/30/2021 | | F | | 9545 (1) | D | $16.85 | 451192 | D | |
Common Stock | 9/30/2021 | | M | | 4257 | A | $0 | 455449 | D | |
Common Stock | 9/30/2021 | | M | | 48405 | A | $0 | 503854 | D | |
Common Stock | 9/30/2021 | | F | | 11787 (1) | D | $16.85 | 492067 | D | |
Common Stock | 9/30/2021 | | F | | 1126 (1) | D | $16.85 | 490941 | D | |
Common Stock | 9/30/2021 | | F | | 1676 (1) | D | $16.85 | 489265 | D | |
Common Stock | 9/30/2021 | | M | | 3802 | A | $0 | 493067 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | (2) | 9/30/2021 | | M | | | 4257 | 9/30/2013 | (3) | Common Stock | 4257 | $0 | 0 | D | |
Restricted Stock Units | (2) | 9/30/2021 | | M | | | 48405 | (4) | (3) | Common Stock | 48405 | $0 | 96809 | D | |
Restricted Stock Units | (2) | 9/30/2021 | | M | | | 3802 | 9/30/2014 | (3) | Common Stock | 3802 | $0 | 0 | D | |
Explanation of Responses: |
(1) | Divestiture of securities is solely in connection with payment of taxes incident to vesting of securities. |
(2) | Restricted stock units convert into common stock on a one-for-one basis. |
(3) | Reflects shares vested in connection with reported person's termination. |
(4) | Vested shares will be delivered to the reporting person on the date such reporting person's service as a Director of the Issuer has terminated. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Brickman Christian A. C/O SALLY BEAUTY HOLDINGS, INC. 3001 COLORADO BLVD. DENTON, TX 76210 | X |
| President & CEO |
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Signatures
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/s/ Cade Newman, Attorney-in-fact | | 10/4/2021 |
**Signature of Reporting Person | Date |
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