Statement of Changes in Beneficial Ownership (4)
November 05 2021 - 4:37PM
Edgar (US Regulatory)
FORM 4
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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
*
Platz Marlo Michelle Cormier |
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)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) SVP, CFO |
(Last)
(First)
(Middle)
C/O SALLY BEAUTY HOLDINGS, INC., 3001 COLORADO BLVD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/3/2021 |
(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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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 (1) | (3) | 11/3/2021 | | A | | 22988 | | (2) | (2) | Common Stock | 22988 | $0.00 | 22988 | D | |
Restricted stock units (1)(4) | (3) | 11/3/2021 | | A | | 2498 | | (4) | (4) | Common Stock | 2498 | $0.00 | 2498 | D | |
Explanation of Responses: |
(1) | Grant of restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan. |
(2) | The restricted stock units vest in three equal annual installments beginning on November 15, 2022. |
(3) | Restricted stock units convert into common stock on a one-for-one basis. |
(4) | Reflects earned performance stock units (PSUs). The PSUs were granted on January 27, 2021, and are comprised of three, one-year performance periods with goals related to adjusted operating income (AOI), with the number of shares earned paid out at the end of the three-year performance period on November 15, 2023. The number of PSUs reported reflects the number of PSUs earned based on the issuer's Compensation and Talent Committee's certification of the level of achievement of AOI goals for the first one-year performance period (October 1, 2020 and ending on September 30, 2021). |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Platz Marlo Michelle Cormier C/O SALLY BEAUTY HOLDINGS, INC. 3001 COLORADO BLVD DENTON, TX 76210 |
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| SVP, CFO |
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Signatures
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/s/ Cade Newman, Attorney-in-Fact | | 11/5/2021 |
**Signature of Reporting Person | Date |
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