Initial Statement of Beneficial Ownership (3)
November 25 2020 - 5:43PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
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Edwards Mary Beth Beth |
2. Date of Event Requiring Statement (MM/DD/YYYY)
11/16/2020
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3. Issuer Name and Ticker or Trading Symbol
Sally Beauty Holdings, Inc. [SBH]
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(Last)
(First)
(Middle)
3001 COLORADO BLVD |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) SVP, CIO & CTO / |
(Street)
DENTON, TX 76210
(City)
(State)
(Zip)
| 5. 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
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 1124 | D | |
Common Stock | 2973 | D | |
Common Stock | 100 | I | Trust (1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (Right to Buy) (2) | (3) | 11/5/2029 | Common Stock | 13505 | $16.65 | D | |
Employee Stock Option (Right to Buy) (2) | (4) | 11/4/2030 | Common Stock | 26592 | $9.09 | D | |
Restricted Stock Units (2) | (5) | (5) | Common Stock | 10891 | (6) | D | |
Explanation of Responses: |
(1) | Shares held by Trust. |
(2) | Grant of options and restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan. |
(3) | The option is currently exercisable as to 4,501 shares and will be exercisable as to 4,502 shares on November 15, 2021 and as to 4,502 shares on November 15, 2022. |
(4) | The options vest in three equal annual installments beginning on November 15, 2021. |
(5) | The restrictions on the shares shall lapse annually in three equal installments beginning on November 15, 2021. |
(6) | Restricted stock units convert into common stock on a one-for-one basis. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Edwards Mary Beth Beth 3001 COLORADO BLVD DENTON, TX 76210 |
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| SVP, CIO & CTO |
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Signatures
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/s/ Cade Newman, Attorney-in-fact | | 11/25/2020 |
**Signature of Reporting Person | Date |
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