Statement of Changes in Beneficial Ownership (4)
May 18 2021 - 6:28PM
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
*
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)
__X__ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Chief Executive Officer |
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(Last)
(First)
(Middle)
1 HELEN OF TROY PLAZA |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/14/2021 |
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(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 | 5/14/2021 | | F | | 6174 (1) | D | $223 | 62141.2059 (2) | D | |
| Common Stock, Par Value $0.10 per share | 5/14/2021 | | F | | 12348 (1) | D | $223 | 49793.2059 | D | |
| Common Stock, Par Value $0.10 per share | 5/14/2021 | | F | | 6175 (1) | D | $223 | 43618.2059 | 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 performance units. 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. |
| (2) | Includes 496.8611 shares acquired under the Helen of Troy Limited 2008 Employee Stock Purchase Plan prior to the last Form 4 filed by the reporting person and a reduction of 162.8552 to account for a mathematical error relating to the previous reporting of shares acquired under the Helen of Troy Limited 2008 Employee Stock Purchase Plan. |
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 | X |
| Chief Executive Officer |
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Signatures
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| Tessa N. Judge as Attorney-In-Fact for Julien R. Mininberg | | 5/16/2021 |
| **Signature of Reporting Person | Date |
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