SEC Form 4 · accession 0001127602-16-064119
Sally Beauty Holdings, Inc. · SBH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John A Miller
Director
Period of report
Sep 30, 2016
Accepted (ET)
Oct 4, 2016 · 5:12 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001368458
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 30, 2016 | M | 4,264 | — | A | 19,802 | D | |
| Common StockF2 | holding | — | — | — | 181,006 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F3 | — | Sep 30, 2016 | M | 4,264 | D | Sep 30, 2016 | — | Common Stock | 4,264 | 0 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis.
- F2Held by the Rellim Dynasty Trust. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
- F3On October 28, 2015, the reporting person was granted 4,264 restricted stock units ("RSUs") pursuant to the Sally Beauty Holdings, Inc. Amended and Restated Independent Director Compensation Policy. Such RSUs vested on September 30, 2016 and the reporting person elected to receive shares of common stock in settlement of the RSUs on such date.