Statement of Changes in Beneficial Ownership (4)
November 24 2014 - 4:41PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
WINTERHALTER GARY
|
2. Issuer Name
and
Ticker or Trading Symbol
Sally Beauty Holdings, Inc.
[
SBH
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chairman & CEO
|
(Last)
(First)
(Middle)
C/O SALLY BEAUTY HOLDINGS, INC., 3001 COLORADO BLVD
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/5/2013
|
(Street)
DENTON, TX 76210
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
11/5/2013
|
|
G
(1)
|
|
13971.0000
|
D
|
$0.0000
|
225670.0000
|
D
|
|
Common Stock
|
11/13/2014
|
|
G
(1)
|
V
|
11164.0000
|
D
|
$0.0000
|
214506.0000
|
D
|
|
Common Stock
|
11/20/2014
|
|
M
|
|
249000.0000
|
A
|
$19.2100
|
463506.0000
|
D
|
|
Common Stock
|
11/20/2014
|
|
S
|
|
249000.0000
|
D
|
$30.8874
(2)
|
214506.0000
|
D
|
|
Common Stock
|
11/24/2014
|
|
M
|
|
150000.0000
|
A
|
$23.4900
|
364506.0000
|
D
|
|
Common Stock
|
11/24/2014
|
|
S
|
|
150000.0000
|
D
|
$31.1703
(3)
|
214506.0000
|
D
|
|
Common Stock
|
11/5/2013
|
|
G
(1)
|
|
13971.0000
|
A
|
$0.0000
|
137601.0000
|
I
|
by trust A
(4)
|
Common Stock
|
11/13/2014
|
|
G
(1)
|
V
|
11164.0000
|
A
|
$0.0000
|
148765.0000
|
I
|
by trust A
(4)
|
Common Stock
|
11/20/2014
|
|
S
|
|
148765.0000
|
D
|
$30.7473
(5)
|
0.0000
|
I
|
by trust A
(4)
|
Common Stock
|
11/20/2014
|
|
S
|
|
50966.0000
|
D
|
$30.8143
(6)
|
0.0000
|
I
|
by trust B
(7)
|
Common Stock
|
11/20/2014
|
|
S
|
|
50965.0000
|
D
|
$30.8144
(8)
|
0.0000
|
I
|
by trust C
(9)
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Employee Stock Option (Right to Buy)
|
$19.2100
|
11/20/2014
|
|
M
|
|
|
249000.0000
|
(10)
|
10/26/2021
|
Common Stock
|
249000.0000
|
$19.2100
|
83000.0000
|
D
|
|
Employee Stock Option (Right to Buy)
|
$23.4900
|
11/24/2014
|
|
M
|
|
|
150000.0000
|
(11)
|
10/29/2022
|
Common Stock
|
150000.0000
|
$23.4900
|
150000.0000
|
D
|
|
Explanation of Responses:
|
(
1)
|
Reflects a gift of shares directly beneficially owned by the reporting person to the Gary G. and Joanne Winterhalter Trust, of which he is co-trustee and his children are beneficiaries. The reporting person reports the shares held by such trust as being indirectly beneficially owned by the reporting person.
|
(
2)
|
Reflects the weighted average sale price. The range of prices for these transactions was $30.65 to $31.08. 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.
|
(
3)
|
Reflects the weighted average sale price. The range of prices for these transactions was $31.05 to $31.37. 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.
|
(
4)
|
Shares held by the Gary G. and Joanne Winterhalter Trust. Proceeds from the sale of shares held in the Gary G. and Joanne Winterhalter Trust benefit the reporting person's children as beneficiaries of the trust.
|
(
5)
|
Reflects the weighted average sale price. The range of prices for these transactions was $30.69 to $30.90. 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.
|
(
6)
|
Reflects the weighted average sale price. The range of prices for these transactions was $30.52 to $31.02. 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.
|
(
7)
|
Shares held by the Gary G. Winterhalter Irrevocable Trust. Proceeds from the sale of shares held in the Gary G. Winterhalter Irrevocable Trust benefit the reporting person's children as beneficiaries of the trust.
|
(
8)
|
Reflects the weighted average sale price. The range of prices for these transactions was $30.52 to $31.04. 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.
|
(
9)
|
Shares held by the Joanne Winterhalter Irrevocable Trust. Proceeds from the sale of shares held in the Joanne Winterhalter Irrevocable Trust benefit the reporting person's children as beneficiaries of the trust.
|
(
10)
|
The options vest annually in four equal installments beginning on October 25, 2012.
|
(
11)
|
The options vest annually in four equal installments beginning on October 28, 2013.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
WINTERHALTER GARY
C/O SALLY BEAUTY HOLDINGS, INC.
3001 COLORADO BLVD
DENTON, TX 76210
|
X
|
|
Chairman & CEO
|
|
Signatures
|
Matt Haltom, Attorney-in-fact
|
|
11/24/2014
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
Sally Beauty (NYSE:SBH)
Historical Stock Chart
From Mar 2024 to Apr 2024
Sally Beauty (NYSE:SBH)
Historical Stock Chart
From Apr 2023 to Apr 2024