SEC Form 4 · accession 0000716643-18-000086
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
Nov 11, 2018
Accepted (ET)
Nov 13, 2018 · 4:43 pm EST
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 | Nov 11, 2018 | F | 17,776 | $17.97 | D | 146,771 | D | |
| Common StockF1 | Nov 12, 2018 | S | 9,177 | $17.88 | D | 137,594 | D | |
| Common Stock | Nov 12, 2018 | M | 2,173 | $15.50 | A | 139,767 | D | |
| Common Stock | Nov 12, 2018 | F | 139 | $17.82 | D | 139,628 | D | |
| Common Stock | Nov 13, 2018 | S | 143 | $17.80 | D | 139,485 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation Right | $15.50 | Nov 12, 2018 | M | 2,173 | D | Nov 11, 2014 | Nov 11, 2023 | Common Stock | 2,173 | 4,346 | D |
Explanation of responses
- F1Reflects the weighted average price of 9,177 shares of common stock of Issuer sold by the Reporting Person in multiple transactions on November 12, 2018 with prices ranging from $17.79 to $17.95 per share. The Reporting Person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.