SEC Form 4 · accession 0000716643-18-000045
REGIS CORP · RGS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jim Brian Lain
Officer — EVP & Chief Operating Officer
Period of report
Aug 31, 2018
Accepted (ET)
Sep 5, 2018 · 4:49 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000716643
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 31, 2018 | F | 13,784 | $21.39 | D | 96,214 | D | |
| Common StockF1 | Aug 31, 2018 | A | 1,481 | $21.39 | A | 97,695 | D | |
| Common StockF2 | Aug 31, 2018 | A | 1,402 | $0.00 | A | 99,097 | D | |
| Common StockF3 | Aug 31, 2018 | A | 16,362 | $0.00 | A | 115,459 | D | |
| Common StockF4 | Aug 31, 2018 | A | 49,088 | $0.00 | A | 164,547 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Reporting Person elected to participate in the Issuer's Stock Purchase and Matching RSU Program (SPMP). The Reporting Person purchased 1,481 shares of RGS common stock under the SPMP.
- F2The Reporting Person was awarded a grant of 1,402 restricted stock units (RSUs) pursuant to the SPMP. The RSUs will vest on the fifth anniversary of the grant date, subject to the Reporting Person's continued employment with the Issuer through such anniversary and the other terms and conditions of the grant agreement. Each RSU represents the contingent right to receive one share of RGS common stock upon vesting.
- F3The Reporting Person was awarded a grant of 16,362 RSUs. The RSUs will vest on the third anniversary of the grant date, subject to the Reporting Person's continued employment with the Issuer through such anniversary and the other terms and conditions of the grant agreement. Each RSU represents the contingent right to receive one share of RGS common stock upon vesting.
- F4The Reporting Person was awarded a grant of 49,088 performance stock units (PSUs). The PSUs will vest on the fifth anniversary of the grant date if and to the extent certain market-based conditions are met during a performance period ending June 30, 2021, subject to the Reporting Person's continued employment with the Issuer through such anniversary and the other terms and conditions of the grant agreement. Each PSU represents the contingent right to receive one share of RGS common stock upon vesting.