Statement of Changes in Beneficial Ownership (4)
May 20 2020 - 10:51AM
Edgar (US Regulatory)
FORM 4
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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
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Mininberg Julien |
2. Issuer Name and Ticker or Trading Symbol
HELEN OF TROY LTD
[
HELE
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Executive Officer |
(Last)
(First)
(Middle)
1 HELEN OF TROY PLAZA |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/16/2020 |
(Street)
EL PASO, TX 79912
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, Par Value $0.10 per share | 4/16/2020 | | A | | 12188 (1) | A | $0 | 129765.4955 (2) | D | |
Common Stock, Par Value $0.10 per share | 5/13/2020 | | F | | 5406 | D | $0 | 124359.4955 | D | |
Common Stock, Par Value $0.10 per share | 4/16/2020 | | A | | 24378 (1) | A | $0 | 148737.4955 | D | |
Common Stock, Par Value $0.10 per share | 5/13/2020 | | F | | 10812 | D | $0 | 137925.4955 | D | |
Common Stock, Par Value $0.10 per share | 4/16/2020 | | A | | 12190 (1) | A | $0 | 150115.4955 | D | |
Common Stock, Par Value $0.10 per share | 5/13/2020 | | F | | 5407 | D | $0 | 144708.4955 | D | |
Common Stock, Par Value $0.10 per share | 5/15/2020 | | S | | 143 | D | $164.53 (3) | 144565.4955 | D | |
Common Stock, Par Value $0.10 per share | 5/15/2020 | | S | | 509 | D | $165.66 (4) | 144219.3507 | D | |
Common Stock, Par Value $0.10 per share | 5/15/2020 | | S | | 80 | D | $166.23 (5) | 144139.3507 | D | |
Common Stock, Par Value $0.10 per share | 5/18/2020 | | S | | 1400 | D | $169 (6) | 142739.3507 | D | |
Common Stock, Par Value $0.10 per share | 5/18/2020 | | S | | 2299 | D | $169.98 (7) | 140440.3507 | D | |
Common Stock, Par Value $0.10 per share | 5/18/2020 | | S | | 1727 | D | $170.75 (8) | 138713.3507 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 |
Explanation of Responses: |
(1) | Represents restricted stock performance units that have vested and settled out in shares of common stock. |
(2) | Includes 162.8552 shares acquired under the Helen of Troy Limited 2018 Employee Stock Purchase Plan since the last form 4 filed by the reporting person. |
(3) | This transaction was executed in multiple trades at prices ranging from $163.97 to $164.90. The price reported above reflects the weighted average sale price. These trades were effected pursuant to a 10b5-1 trading plan put in place on 1/16/2020. The reporting person hereby undertakes to provide upon request to the SEC staff, Helen of Troy Limited or a security holder of Helen of Troy Limited full information regarding the number of shares sold at each separate price within the range. |
(4) | This transaction was executed in multiple trades at prices ranging from $165.15 to $166.14. The price reported above reflects the weighted average sale price. These trades were effected pursuant to a 10b5-1 trading plan put in place on 1/16/2020. The reporting person hereby undertakes to provide upon request to the SEC staff, Helen of Troy Limited or a security holder of Helen of Troy Limited full information regarding the number of shares sold at each separate price within the range. |
(5) | This transaction was executed in multiple trades at prices ranging from $166.16 to $166.26. The price reported above reflects the weighted average sale price. These trades were effected pursuant to a 10b5-1 trading plan put in place on 1/16/2020. The reporting person hereby undertakes to provide upon request to the SEC staff, Helen of Troy Limited or a security holder of Helen of Troy Limited full information regarding the number of shares sold at each separate price within the range. |
(6) | This transaction was executed in multiple trades at prices ranging from $168.40 to $169.24. The price reported above reflects the weighted average sale price. These trades were effected pursuant to a 10b5-1 trading plan put in place on 1/16/2020. The reporting person hereby undertakes to provide upon request to the SEC staff, Helen of Troy Limited or a security holder of Helen of Troy Limited full information regarding the number of shares sold at each separate price within the range. |
(7) | This transaction was executed in multiple trades at prices ranging from $169.47 to $170.44. The price reported above reflects the weighted average sale price. These trades were effected pursuant to a 10b5-1 trading plan put in place on 1/16/2020. The reporting person hereby undertakes to provide upon request to the SEC staff, Helen of Troy Limited or a security holder of Helen of Troy Limited full information regarding the number of shares sold at each separate price within the range. |
(8) | This transaction was executed in multiple trades at prices ranging from $170.49 to $171.02. The price reported above reflects the weighted average sale price. These trades were effected pursuant to a 10b5-1 trading plan put in place on 1/16/2020. The reporting person hereby undertakes to provide upon request to the SEC staff, Helen of Troy Limited or a security holder of Helen of Troy Limited full information regarding the number of shares sold at each separate price within the range. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Mininberg Julien 1 HELEN OF TROY PLAZA EL PASO, TX 79912 |
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| Chief Executive Officer |
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Signatures
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Tessa N. Judge as Attorney-In-Fact for Julien R. Mininberg | | 5/18/2020 |
**Signature of Reporting Person | Date |
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