Initial Statement of Beneficial Ownership (3)
November 25 2020 - 5:39PM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Goss John Howard JR |
2. Date of Event Requiring Statement (MM/DD/YYYY)
11/16/2020
|
3. Issuer Name and Ticker or Trading Symbol
Sally Beauty Holdings, Inc. [SBH]
|
(Last)
(First)
(Middle)
3001 COLORADO BLVD |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) SVP & President, Sally Beauty / |
(Street)
DENTON, TX 76210
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 | 17373 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: 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) (1) | (2) | 11/1/2026 | Common Stock | 26345 | $25.53 | D | |
Employee Stock Option (Right to Buy) (1) | (2) | 11/1/2027 | Common Stock | 17516 | $17.42 | D | |
Employee Stock Option (Right to Buy) (1) | (3) | 11/1/2028 | Common Stock | 14505 | $18.14 | D | |
Employee Stock Option (Right to Buy) (4) | (5) | 11/5/2029 | Common Stock | 15005 | $16.65 | D | |
Employee Stock Option (Right to Buy) (4) | (6) | 11/4/2030 | Common Stock | 23046 | $9.09 | D | |
Restricted Stock Units (4) | (7) | (7) | Common Stock | 9438 | (8) | D | |
Explanation of Responses: |
(1) | Grant of options under the Sally Beauty Holdings, Inc. Amended and Restated 2010 Omnibus Incentive Plan. |
(2) | The option is currently exercisable in full. |
(3) | The option is currently exercisable as to 9,670 shares and will be exercisable as to 4,835 shares on September 30, 2021. |
(4) | Grant of options and restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan. |
(5) | The option is currently exercisable as to 5,001 shares and will be exercisable as to 5,002 shares on November 15, 2021 and as to 5,002 shares on November 15, 2022. |
(6) | The options vest in three equal annual installments beginning on November 15, 2021. |
(7) | The restrictions on the shares shall lapse annually in three equal installments beginning on November 15, 2021. |
(8) | Restricted stock units convert into common stock on a one-for-one basis. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Goss John Howard JR 3001 COLORADO BLVD DENTON, TX 76210 |
|
| SVP & President, Sally Beauty |
|
Signatures
|
/s/ Cade Newman, Attorney-in-fact | | 11/25/2020 |
**Signature of Reporting Person | Date |
Sally Beauty (NYSE:SBH)
Historical Stock Chart
From Mar 2024 to Apr 2024
Sally Beauty (NYSE:SBH)
Historical Stock Chart
From Apr 2023 to Apr 2024