SEC Form 4 · accession 0001225208-16-031200
Sally Beauty Holdings, Inc. · SBH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark J Flaherty
Officer — SVP and CFO
Period of report
Apr 4, 2016
Accepted (ET)
Apr 6, 2016 · 5:04 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 Stock | Apr 4, 2016 | M | 10,000 | $26.30 | A | 35,290 | D | |
| Common Stock | Apr 4, 2016 | M | 10,000 | $5.24 | A | 45,290 | D | |
| Common Stock | Apr 4, 2016 | M | 8,000 | $23.49 | A | 53,290 | D | |
| Common Stock | Apr 4, 2016 | M | 6,000 | $19.21 | A | 59,290 | D | |
| Common StockF2 | Apr 4, 2016 | S | 34,000 | $32.3941 | D | 25,290 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F3 | $5.24 | Apr 4, 2016 | M | 10,000 | D | — | Oct 22, 2018 | Common Stock | 10,000 | 10,076 | D |
| Employee Stock Option (Right to Buy)F4 | $19.21 | Apr 4, 2016 | M | 6,000 | D | — | Oct 26, 2021 | Common Stock | 6,000 | 6,484 | D |
| Employee Stock Option (Right to Buy)F5 | $23.49 | Apr 4, 2016 | M | 8,000 | D | — | Oct 29, 2022 | Common Stock | 8,000 | 23,397 | D |
| Employee Stock Option (Right to Buy)F6 | $26.30 | Apr 4, 2016 | M | 10,000 | D | — | Oct 30, 2023 | Common Stock | 10,000 | 76,500 | D |
Explanation of responses
- F1The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 sales plan adopted by the reporting person on March 4, 2016.
- F2Reflects the weighted average sale price. The range of prices for these transactions was $32.15 to $32.66. The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide, upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price.
- F3The options vest in four equal annual installments beginning on October 21, 2009.
- F4The options vest annually in four equal installments beginning on October 25, 2012.
- F5The options vest annually in four equal installments beginning on October 28, 2013.
- F6The options vest in four equal annual installments beginning on October 29, 2014.