SEC Form 4 · accession 0000716643-18-000053
REGIS CORP · RGS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric Bakken
Officer — President of Franchise
Period of report
Aug 31, 2018
Accepted (ET)
Sep 5, 2018 · 5:15 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 StockF1 | Aug 31, 2018 | F | 14,763 | $21.39 | D | 120,011 | D | |
| Common StockF2 | Aug 31, 2018 | A | 2,291 | $21.39 | A | 122,302 | D | |
| Common StockF3 | Aug 31, 2018 | A | 2,169 | $0.00 | A | 124,471 | D | |
| Common StockF4 | Aug 31, 2018 | A | 20,453 | $0.00 | A | 144,924 | D | |
| Common StockF5 | Aug 31, 2018 | A | 61,360 | $0.00 | A | 206,284 | D | |
| Common Stock | holding | — | — | — | 400 | I | Through profit sharing plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 38 shares attributable to employee stock plan purchases since the Reporting Person's last Form 4.
- F2The Reporting Person elected to participate in the Issuer's Stock Purchase and Matching RSU Program (SPMP). The Reporting Person purchased 2,291 shares of RGS common stock under the SPMP.
- F3The Reporting Person was awarded a grant of 2,169 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.
- F4The Reporting Person was awarded a grant of 20,453 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.
- F5The Reporting Person was awarded a grant of 61,360 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.