Statement of Changes in Beneficial Ownership (4)
March 03 2021 - 6:29PM
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
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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
*
Grass Brian |
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 Financial Officer |
(Last)
(First)
(Middle)
1 HELEN OF TROY PLAZA |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/1/2021 |
(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 | 3/1/2021 | | F | | 248 (1) | D | $219.82 | 32786.08 | D | |
Common Stock, Par Value $0.10 per share | 3/1/2021 | | F | | 25 (1) | D | $219.82 | 32761.08 | D | |
Common Stock, Par Value $0.10 per share | 3/1/2021 | | F | | 226 (2) | D | $219.82 | 32535.08 | D | |
Common Stock, Par Value $0.10 per share | 3/1/2021 | | A | | 1769 | A | $0 (3) | 34424.284 (4) | 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 the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's electionunder its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person. |
(2) | Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock awards. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person. |
(3) | Restricted Stock Units reported as Non-Derivative Securities vesting in two-equal installments on March 1, 2023 and March 1, 2024. |
(4) | Includes 120.204 shares acquired under the Helen of Troy Limited 2018 Employee Stock Purchase Plan since the last Form 4 filed by the reporting person. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Grass Brian 1 HELEN OF TROY PLAZA EL PASO, TX 79912 |
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| Chief Financial Officer |
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Signatures
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Tessa N. Judge as Attorney-In-Fact for Brian Grass | | 3/2/2021 |
**Signature of Reporting Person | Date |
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