SEC Form 4 · accession 0001127602-19-000721
Sally Beauty Holdings, Inc. · SBH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward W Rabin
Director
Period of report
Sep 30, 2018
Accepted (ET)
Jan 3, 2019 · 4:33 pm EST
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, 2018 | M | 5,381 | — | A | 19,732 | D | |
| Common StockF2 | holding | — | — | — | 74,000 | I | By Trust | |
| Common StockF3 | holding | — | — | — | 11,500 | I | By Wife |
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,F4 | — | Sep 30, 2018 | M | 5,381 | D | Sep 30, 2018 | — | Common Stock | 5,381 | 1,794 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis.
- F2Shares held by Edward Rabin Trust, f/b/o Edward Rabin, Jackie Rabin and family.
- F3Shares held by Jackie Rabin SEP IRA, f/b/o Jackie Rabin.
- F4On November 1, 2017, the reporting person was granted 7,175 restricted stock units ("RSUs") pursuant to the Sally Beauty Holdings, Inc. Amended and Restated Independent Director Compensation Policy. Such RSUs vested on September 30, 2018 and the reporting person elected to receive shares of common stock in settlement of seventy-five percent of the RSUs on such date.