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NYSE · USD

SBH

Sally Beauty Holdings, Inc.

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Tapewire entity
4676
SEC CIK
0001368458
Parsed reports
450

Last 12 months

Inside the activity.

0 purchase rows · 3 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202502
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202601
Jul 202600
Aug 202600
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
November 15, 2021 Filed Nov 18, 2021 00:23 UTC
Henrich John MSVP, Gen Counsel & Secretary
Tax withholdingCommon Stock 2,050 $20.34 $41,697.00
Disclosure

SEC source: 0000899243-21-045140 · doc4.xml · nonDerivative · entry 2

Henrich John M · CIK 0001779562 · SVP, Gen Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,009

Read SEC document
November 15, 2021 Filed Nov 18, 2021 00:23 UTC
Henrich John MSVP, Gen Counsel & Secretary
Exercise / conversionCommon Stock 5,445 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-045140 · doc4.xml · nonDerivative · entry 1

Henrich John M · CIK 0001779562 · SVP, Gen Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,059

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 15, 2021 Filed Nov 18, 2021 00:33 UTC Exercise / conversionRestricted stock units · Derivative 3,630 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-045153 · doc4.xml · derivative · entry 4

Edwards Mary Beth Beth · CIK 0001833121 · SVP, CIO & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,261

Underlying: Common Stock · 3,630 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning on November 15, 2021.

F2 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning on November 15, 2021.

Read SEC document
November 15, 2021 Filed Nov 18, 2021 00:33 UTC Tax withholdingCommon Stock 1,246 $20.34 $25,343.64
Disclosure

SEC source: 0000899243-21-045153 · doc4.xml · nonDerivative · entry 2

Edwards Mary Beth Beth · CIK 0001833121 · SVP, CIO & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,481

Read SEC document
November 15, 2021 Filed Nov 18, 2021 00:33 UTC Exercise / conversionCommon Stock 3,630 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-045153 · doc4.xml · nonDerivative · entry 1

Edwards Mary Beth Beth · CIK 0001833121 · SVP, CIO & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,727

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 15, 2021 Filed Nov 18, 2021 00:10 UTC
Paulonis DeniseDirector · President & CEO
Exercise / conversionRestricted stock units · Derivative 15,401 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-045129 · doc4.xml · derivative · entry 3

Paulonis Denise · CIK 0001683382 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,401 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: On November 5, 2020, the reporting person was granted 15,401 restricted stock units ("RSUs") pursuant to the Sally Beauty Holdings, Inc. Amended and Restated Independent Director Compensation Policy. Such RSUs vested on November 15, 2021 and the reporting person elected to receive shares of common stock in settlement of the RSUs on such date.

F2 · derivative.expiration_date: On November 5, 2020, the reporting person was granted 15,401 restricted stock units ("RSUs") pursuant to the Sally Beauty Holdings, Inc. Amended and Restated Independent Director Compensation Policy. Such RSUs vested on November 15, 2021 and the reporting person elected to receive shares of common stock in settlement of the RSUs on such date.

Read SEC document
November 15, 2021 Filed Nov 18, 2021 00:10 UTC
Paulonis DeniseDirector · President & CEO
Tax withholdingCommon Stock 3,751 $20.34 $76,295.34
Disclosure

SEC source: 0000899243-21-045129 · doc4.xml · nonDerivative · entry 2

Paulonis Denise · CIK 0001683382 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,676

Read SEC document
November 15, 2021 Filed Nov 18, 2021 00:10 UTC
Paulonis DeniseDirector · President & CEO
Exercise / conversionCommon Stock 15,401 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-045129 · doc4.xml · nonDerivative · entry 1

Paulonis Denise · CIK 0001683382 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,427

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 15, 2021 Filed Nov 18, 2021 00:07 UTC
Kohn Pamela KSee Remarks
Exercise / conversionRestricted stock units · Derivative 9,680 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-045125 · doc4.xml · derivative · entry 3

Kohn Pamela K · CIK 0001663054 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,362

Underlying: Common Stock · 9,680 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning on November 15, 2021.

F2 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning on November 15, 2021.

Read SEC document
November 15, 2021 Filed Nov 18, 2021 00:07 UTC
Kohn Pamela KSee Remarks
Tax withholdingCommon Stock 3,645 $20.34 $74,139.30
Disclosure

SEC source: 0000899243-21-045125 · doc4.xml · nonDerivative · entry 2

Kohn Pamela K · CIK 0001663054 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,548

Read SEC document
November 15, 2021 Filed Nov 18, 2021 00:07 UTC
Kohn Pamela KSee Remarks
Exercise / conversionCommon Stock 9,680 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-045125 · doc4.xml · nonDerivative · entry 1

Kohn Pamela K · CIK 0001663054 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,193

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 15, 2021 Filed Nov 18, 2021 00:04 UTC Exercise / conversionRestricted stock units · Derivative 4,235 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-045123 · doc4.xml · derivative · entry 3

Platz Marlo Michelle Cormier · CIK 0001526548 · SVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,471

Underlying: Common Stock · 4,235 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning on November 15, 2021.

F2 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning on November 15, 2021.

Read SEC document
November 15, 2021 Filed Nov 18, 2021 00:04 UTC Tax withholdingCommon Stock 1,032 $20.34 $20,990.88
Disclosure

SEC source: 0000899243-21-045123 · doc4.xml · nonDerivative · entry 2

Platz Marlo Michelle Cormier · CIK 0001526548 · SVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,011

Read SEC document
November 15, 2021 Filed Nov 18, 2021 00:04 UTC Exercise / conversionCommon Stock 4,235 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-045123 · doc4.xml · nonDerivative · entry 1

Platz Marlo Michelle Cormier · CIK 0001526548 · SVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,043

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 15, 2021 Filed Aug 29, 2022 16:05 UTC Amendment Exercise / conversionCommon Stock 15,401 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-029966 · doc4a.xml · nonDerivative · entry 1

MILLER JOHN A · CIK 0001222215 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,399

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: This amended report is being filed to correct a scrivener's error in the number of shares reported as beneficially owned by the reporting person following the reported transaction.

Read SEC document
November 03, 2021 Filed Nov 5, 2021 16:19 UTC GrantRestricted stock units · Derivative 2,046 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-043274 · doc4.xml · derivative · entry 2

Goss John Howard JR · CIK 0001833119 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,046

Underlying: Common Stock · 2,046 shares

Expires not disclosed

F1 · security: Grant of restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan.

F4 · security: Reflects earned performance stock units (PSUs). The PSUs were granted on January 27, 2021, and are comprised of three, one-year performance periods with goals related to adjusted operating income (AOI), with the number of shares earned paid out at the end of the three-year performance period on November 15, 2023. The number of PSUs reported reflects the number of PSUs earned based on the issuer's Compensation and Talent Committee's certification of the level of achievement of AOI goals for the first one-year performance period (October 1, 2020 and ending on September 30, 2021).

F3 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F4 · derivative.exercise_date: Reflects earned performance stock units (PSUs). The PSUs were granted on January 27, 2021, and are comprised of three, one-year performance periods with goals related to adjusted operating income (AOI), with the number of shares earned paid out at the end of the three-year performance period on November 15, 2023. The number of PSUs reported reflects the number of PSUs earned based on the issuer's Compensation and Talent Committee's certification of the level of achievement of AOI goals for the first one-year performance period (October 1, 2020 and ending on September 30, 2021).

F4 · derivative.expiration_date: Reflects earned performance stock units (PSUs). The PSUs were granted on January 27, 2021, and are comprised of three, one-year performance periods with goals related to adjusted operating income (AOI), with the number of shares earned paid out at the end of the three-year performance period on November 15, 2023. The number of PSUs reported reflects the number of PSUs earned based on the issuer's Compensation and Talent Committee's certification of the level of achievement of AOI goals for the first one-year performance period (October 1, 2020 and ending on September 30, 2021).

Read SEC document
November 03, 2021 Filed Nov 5, 2021 16:19 UTC GrantRestricted stock units · Derivative 17,241 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-043274 · doc4.xml · derivative · entry 1

Goss John Howard JR · CIK 0001833119 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,241

Underlying: Common Stock · 17,241 shares

Expires not disclosed

F1 · security: Grant of restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan.

F3 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning on November 15, 2022.

F2 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning on November 15, 2022.

Read SEC document
November 03, 2021 Filed Nov 5, 2021 16:35 UTC GrantRestricted stock units · Derivative 8,045 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-043302 · doc4.xml · derivative · entry 1

EISENBERG MARSHALL E · CIK 0001056938 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,045

Underlying: Common Stock · 8,045 shares

Expires not disclosed

F1 · security: Grant of restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan

F2 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: The restricted stock units vest on November 15, 2022. Vested shares will be delivered to the reporting person on the date such reporting person's service as a director of the issuer has terminated.

F3 · derivative.expiration_date: The restricted stock units vest on November 15, 2022. Vested shares will be delivered to the reporting person on the date such reporting person's service as a director of the issuer has terminated.

Read SEC document
November 03, 2021 Filed Nov 5, 2021 16:37 UTC
McIntosh KimGVP, CONTROLLER & CAO
GrantRestricted stock units · Derivative 5,747 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-043305 · doc4.xml · derivative · entry 1

McIntosh Kim · CIK 0001850971 · GVP, CONTROLLER & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,747

Underlying: Common Stock · 5,747 shares

Expires not disclosed

F1 · security: Grant of restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan.

F3 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning on November 15, 2022.

F2 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning on November 15, 2022.

Read SEC document
November 03, 2021 Filed Nov 5, 2021 16:19 UTC
Sherman Scott CSVP & CHRO
GrantRestricted stock units · Derivative 2,141 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-043275 · doc4.xml · derivative · entry 2

Sherman Scott C · CIK 0001718810 · SVP & CHRO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,141

Underlying: Common Stock · 2,141 shares

Expires not disclosed

F1 · security: Grant of restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan.

F4 · security: Reflects earned performance stock units (PSUs). The PSUs were granted on January 27, 2021, and are comprised of three, one-year performance periods with goals related to adjusted operating income (AOI), with the number of shares earned paid out at the end of the three-year performance period on November 15, 2023. The number of PSUs reported reflects the number of PSUs earned based on the issuer's Compensation and Talent Committee's certification of the level of achievement of AOI goals for the first one-year performance period (October 1, 2020 and ending on September 30, 2021).

F3 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F4 · derivative.exercise_date: Reflects earned performance stock units (PSUs). The PSUs were granted on January 27, 2021, and are comprised of three, one-year performance periods with goals related to adjusted operating income (AOI), with the number of shares earned paid out at the end of the three-year performance period on November 15, 2023. The number of PSUs reported reflects the number of PSUs earned based on the issuer's Compensation and Talent Committee's certification of the level of achievement of AOI goals for the first one-year performance period (October 1, 2020 and ending on September 30, 2021).

F4 · derivative.expiration_date: Reflects earned performance stock units (PSUs). The PSUs were granted on January 27, 2021, and are comprised of three, one-year performance periods with goals related to adjusted operating income (AOI), with the number of shares earned paid out at the end of the three-year performance period on November 15, 2023. The number of PSUs reported reflects the number of PSUs earned based on the issuer's Compensation and Talent Committee's certification of the level of achievement of AOI goals for the first one-year performance period (October 1, 2020 and ending on September 30, 2021).

Read SEC document
November 03, 2021 Filed Nov 5, 2021 16:19 UTC
Sherman Scott CSVP & CHRO
GrantRestricted stock units · Derivative 14,367 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-043275 · doc4.xml · derivative · entry 1

Sherman Scott C · CIK 0001718810 · SVP & CHRO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,367

Underlying: Common Stock · 14,367 shares

Expires not disclosed

F1 · security: Grant of restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan.

F3 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning on November 15, 2022.

F2 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning on November 15, 2022.

Read SEC document
November 03, 2021 Filed Nov 5, 2021 16:30 UTC GrantRestricted stock units · Derivative 8,045 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-043290 · doc4.xml · derivative · entry 1

Heasley Linda · CIK 0001700780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,045

Underlying: Common Stock · 8,045 shares

Expires not disclosed

F1 · security: Grant of restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan.

F2 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: The restricted stock units vest on November 15, 2022. Vested shares will be delivered to the reporting person on the date such reporting person's service as a director of the issuer has terminated.

F3 · derivative.expiration_date: The restricted stock units vest on November 15, 2022. Vested shares will be delivered to the reporting person on the date such reporting person's service as a director of the issuer has terminated.

Read SEC document
November 03, 2021 Filed Nov 5, 2021 16:47 UTC GrantRestricted stock units · Derivative 8,045 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-043315 · doc4.xml · derivative · entry 1

Flur Dorlisa K · CIK 0001291353 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,045

Underlying: Common Stock · 8,045 shares

Expires not disclosed

F1 · security: Grant of restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan.

F2 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: The restricted stock units vest on November 15, 2022. Vested shares will be delivered to the reporting person on the vesting date.

F3 · derivative.expiration_date: The restricted stock units vest on November 15, 2022. Vested shares will be delivered to the reporting person on the vesting date.

Read SEC document
November 03, 2021 Filed Nov 5, 2021 16:30 UTC GrantRestricted stock units · Derivative 8,045 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-043296 · doc4.xml · derivative · entry 1

Baer Timothy R · CIK 0001290220 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,045

Underlying: Common Stock · 8,045 shares

Expires not disclosed

F1 · security: Grant of restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan.

F2 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: The restricted stock units vest on November 15, 2022. Vested shares will be delivered to the reporting person on the earlier of i) January 1, 2031, ii) the date such reporting person's service as a director of the issuer has terminated, or iii) upon change in control of ownership of the issuer.

F3 · derivative.expiration_date: The restricted stock units vest on November 15, 2022. Vested shares will be delivered to the reporting person on the earlier of i) January 1, 2031, ii) the date such reporting person's service as a director of the issuer has terminated, or iii) upon change in control of ownership of the issuer.

Read SEC document
November 03, 2021 Filed Nov 5, 2021 16:24 UTC
MCMASTER ROBERT RDirector · Chairman of the Board
GrantRestricted stock units · Derivative 10,919 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-043283 · doc4.xml · derivative · entry 1

MCMASTER ROBERT R · CIK 0001258998 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,919

Underlying: Common Stock · 10,919 shares

Expires not disclosed

F1 · security: Grant of restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan.

F2 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: The restricted stock units vest on November 15, 2022. Vested shares will be delivered to the reporting person on the vesting date.

F3 · derivative.expiration_date: The restricted stock units vest on November 15, 2022. Vested shares will be delivered to the reporting person on the vesting date.

Read SEC document
November 03, 2021 Filed Nov 5, 2021 16:24 UTC GrantRestricted stock units · Derivative 8,045 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-043281 · doc4.xml · derivative · entry 1

MILLER JOHN A · CIK 0001222215 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,045

Underlying: Common Stock · 8,045 shares

Expires not disclosed

F1 · security: Grant of restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan.

F2 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: The restricted stock units vest on November 15, 2022. Vested shares will be delivered to the reporting person on the vesting date.

F3 · derivative.expiration_date: The restricted stock units vest on November 15, 2022. Vested shares will be delivered to the reporting person on the vesting date.

Read SEC document
November 03, 2021 Filed Nov 5, 2021 20:39 UTC GrantRestricted stock units · Derivative 8,045 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-043307 · doc4.xml · derivative · entry 1

FERGUSON DIANA SUE · CIK 0001275975 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,045

Underlying: Common Stock · 8,045 shares

Expires not disclosed

F1 · security: Grant of restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan.

F2 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: The restricted stock units vest on November 15, 2022. Vested shares will be delivered to the reporting person on the earlier of i) December 31, 2036, ii) the date such reporting person's service as a director of the issuer has terminated, or iii) upon change in control of ownership of the issuer.

F3 · derivative.expiration_date: The restricted stock units vest on November 15, 2022. Vested shares will be delivered to the reporting person on the earlier of i) December 31, 2036, ii) the date such reporting person's service as a director of the issuer has terminated, or iii) upon change in control of ownership of the issuer.

Read SEC document
November 03, 2021 Filed Nov 5, 2021 16:44 UTC GrantRestricted stock units · Derivative 8,045 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-043311 · doc4.xml · derivative · entry 1

RABIN EDWARD W · CIK 0001276560 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,045

Underlying: Common Stock · 8,045 shares

Expires not disclosed

F1 · security: Grant of restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan.

F2 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: The restricted stock units vest on November 15, 2022. Vested shares will be delivered to the reporting person on the vesting date.

F3 · derivative.expiration_date: The restricted stock units vest on November 15, 2022. Vested shares will be delivered to the reporting person on the vesting date.

Read SEC document
November 03, 2021 Filed Nov 5, 2021 20:36 UTC GrantRestricted stock units · Derivative 2,498 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-043303 · doc4.xml · derivative · entry 2

Platz Marlo Michelle Cormier · CIK 0001526548 · SVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,498

Underlying: Common Stock · 2,498 shares

Expires not disclosed

F1 · security: Grant of restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan.

F4 · security: Reflects earned performance stock units (PSUs). The PSUs were granted on January 27, 2021, and are comprised of three, one-year performance periods with goals related to adjusted operating income (AOI), with the number of shares earned paid out at the end of the three-year performance period on November 15, 2023. The number of PSUs reported reflects the number of PSUs earned based on the issuer's Compensation and Talent Committee's certification of the level of achievement of AOI goals for the first one-year performance period (October 1, 2020 and ending on September 30, 2021).

F3 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F4 · derivative.exercise_date: Reflects earned performance stock units (PSUs). The PSUs were granted on January 27, 2021, and are comprised of three, one-year performance periods with goals related to adjusted operating income (AOI), with the number of shares earned paid out at the end of the three-year performance period on November 15, 2023. The number of PSUs reported reflects the number of PSUs earned based on the issuer's Compensation and Talent Committee's certification of the level of achievement of AOI goals for the first one-year performance period (October 1, 2020 and ending on September 30, 2021).

F4 · derivative.expiration_date: Reflects earned performance stock units (PSUs). The PSUs were granted on January 27, 2021, and are comprised of three, one-year performance periods with goals related to adjusted operating income (AOI), with the number of shares earned paid out at the end of the three-year performance period on November 15, 2023. The number of PSUs reported reflects the number of PSUs earned based on the issuer's Compensation and Talent Committee's certification of the level of achievement of AOI goals for the first one-year performance period (October 1, 2020 and ending on September 30, 2021).

Read SEC document
November 03, 2021 Filed Nov 5, 2021 20:36 UTC GrantRestricted stock units · Derivative 22,988 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-043303 · doc4.xml · derivative · entry 1

Platz Marlo Michelle Cormier · CIK 0001526548 · SVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,988

Underlying: Common Stock · 22,988 shares

Expires not disclosed

F1 · security: Grant of restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan.

F3 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning on November 15, 2022.

F2 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning on November 15, 2022.

Read SEC document
November 03, 2021 Filed Nov 5, 2021 20:53 UTC GrantRestricted stock units · Derivative 8,045 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-043318 · doc4.xml · derivative · entry 1

Mulder Susan R · CIK 0001624390 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,045

Underlying: Common Stock · 8,045 shares

Expires not disclosed

F1 · security: Grant of restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan.

F2 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: The restricted stock units vest on November 15, 2022. Vested shares will be delivered to the reporting person on the vesting date.

F3 · derivative.expiration_date: The restricted stock units vest on November 15, 2022. Vested shares will be delivered to the reporting person on the vesting date.

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November 03, 2021 Filed Nov 5, 2021 20:30 UTC GrantRestricted stock units · Derivative 1,547 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-043293 · doc4.xml · derivative · entry 2

Edwards Mary Beth Beth · CIK 0001833121 · SVP, CIO & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,547

Underlying: Common Stock · 1,547 shares

Expires not disclosed

F1 · security: Grant of restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan.

F4 · security: Reflects earned performance stock units (PSUs). The PSUs were granted on January 27, 2021, and are comprised of three, one-year performance periods with goals related to adjusted operating income (AOI), with the number of shares earned paid out at the end of the three-year performance period on November 15, 2023. The number of PSUs reported reflects the number of PSUs earned based on the issuer's Compensation and Talent Committee's certification of the level of achievement of AOI goals for the first one-year performance period (October 1, 2020 and ending on September 30, 2021).

F3 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F4 · derivative.exercise_date: Reflects earned performance stock units (PSUs). The PSUs were granted on January 27, 2021, and are comprised of three, one-year performance periods with goals related to adjusted operating income (AOI), with the number of shares earned paid out at the end of the three-year performance period on November 15, 2023. The number of PSUs reported reflects the number of PSUs earned based on the issuer's Compensation and Talent Committee's certification of the level of achievement of AOI goals for the first one-year performance period (October 1, 2020 and ending on September 30, 2021).

F4 · derivative.expiration_date: Reflects earned performance stock units (PSUs). The PSUs were granted on January 27, 2021, and are comprised of three, one-year performance periods with goals related to adjusted operating income (AOI), with the number of shares earned paid out at the end of the three-year performance period on November 15, 2023. The number of PSUs reported reflects the number of PSUs earned based on the issuer's Compensation and Talent Committee's certification of the level of achievement of AOI goals for the first one-year performance period (October 1, 2020 and ending on September 30, 2021).

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November 03, 2021 Filed Nov 5, 2021 20:30 UTC GrantRestricted stock units · Derivative 14,367 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-043293 · doc4.xml · derivative · entry 1

Edwards Mary Beth Beth · CIK 0001833121 · SVP, CIO & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,367

Underlying: Common Stock · 14,367 shares

Expires not disclosed

F1 · security: Grant of restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan.

F3 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning on November 15, 2022.

F2 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning on November 15, 2022.

Read SEC document
November 03, 2021 Filed Nov 5, 2021 20:25 UTC
Kohn Pamela KSee Remarks
GrantRestricted stock units · Derivative 3,808 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-043284 · doc4.xml · derivative · entry 2

Kohn Pamela K · CIK 0001663054 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,808

Underlying: Common Stock · 3,808 shares

Expires not disclosed

F1 · security: Grant of restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan.

F4 · security: Reflects earned performance stock units (PSUs). The PSUs were granted on January 27, 2021, and are comprised of three, one-year performance periods with goals related to adjusted operating income (AOI), with the number of shares earned paid out at the end of the three-year performance period on November 15, 2023. The number of PSUs reported reflects the number of PSUs earned based on the issuer's Compensation and Talent Committee's certification of the level of achievement of AOI goals for the first one-year performance period (October 1, 2020 and ending on September 30, 2021).

F3 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F4 · derivative.exercise_date: Reflects earned performance stock units (PSUs). The PSUs were granted on January 27, 2021, and are comprised of three, one-year performance periods with goals related to adjusted operating income (AOI), with the number of shares earned paid out at the end of the three-year performance period on November 15, 2023. The number of PSUs reported reflects the number of PSUs earned based on the issuer's Compensation and Talent Committee's certification of the level of achievement of AOI goals for the first one-year performance period (October 1, 2020 and ending on September 30, 2021).

F4 · derivative.expiration_date: Reflects earned performance stock units (PSUs). The PSUs were granted on January 27, 2021, and are comprised of three, one-year performance periods with goals related to adjusted operating income (AOI), with the number of shares earned paid out at the end of the three-year performance period on November 15, 2023. The number of PSUs reported reflects the number of PSUs earned based on the issuer's Compensation and Talent Committee's certification of the level of achievement of AOI goals for the first one-year performance period (October 1, 2020 and ending on September 30, 2021).

Read SEC document
November 03, 2021 Filed Nov 5, 2021 20:25 UTC
Kohn Pamela KSee Remarks
GrantRestricted stock units · Derivative 22,988 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-043284 · doc4.xml · derivative · entry 1

Kohn Pamela K · CIK 0001663054 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,988

Underlying: Common Stock · 22,988 shares

Expires not disclosed

F1 · security: Grant of restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan.

F3 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning on November 15, 2022.

F2 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning on November 15, 2022.

Read SEC document
November 03, 2021 Filed Nov 5, 2021 20:26 UTC
Head James MDirector
GrantRestricted stock units · Derivative 8,045 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-043286 · doc4.xml · derivative · entry 1

Head James M · CIK 0001842028 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,045

Underlying: Common Stock · 8,045 shares

Expires not disclosed

F1 · security: Grant of restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan.

F2 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: The restricted stock units vest on November 15, 2022. Vested shares will be delivered to the reporting person on the date such reporting person's service as a director of the issuer has terminated.

F3 · derivative.expiration_date: The restricted stock units vest on November 15, 2022. Vested shares will be delivered to the reporting person on the date such reporting person's service as a director of the issuer has terminated.

Read SEC document
November 03, 2021 Filed Nov 5, 2021 20:22 UTC
Henrich John MSee Remarks
GrantRestricted stock units · Derivative 2,141 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-043277 · doc4.xml · derivative · entry 2

Henrich John M · CIK 0001779562 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,141

Underlying: Common Stock · 2,141 shares

Expires not disclosed

F1 · security: Grant of restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan.

F4 · security: Reflects earned performance stock units (PSUs). The PSUs were granted on January 27, 2021, and are comprised of three, one-year performance periods with goals related to adjusted operating income (AOI), with the number of shares earned paid out at the end of the three-year performance period on November 15, 2023. The number of PSUs reported reflects the number of PSUs earned based on the issuer's Compensation and Talent Committee's certification of the level of achievement of AOI goals for the first one-year performance period (October 1, 2020 and ending on September 30, 2021).

F3 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F4 · derivative.exercise_date: Reflects earned performance stock units (PSUs). The PSUs were granted on January 27, 2021, and are comprised of three, one-year performance periods with goals related to adjusted operating income (AOI), with the number of shares earned paid out at the end of the three-year performance period on November 15, 2023. The number of PSUs reported reflects the number of PSUs earned based on the issuer's Compensation and Talent Committee's certification of the level of achievement of AOI goals for the first one-year performance period (October 1, 2020 and ending on September 30, 2021).

F4 · derivative.expiration_date: Reflects earned performance stock units (PSUs). The PSUs were granted on January 27, 2021, and are comprised of three, one-year performance periods with goals related to adjusted operating income (AOI), with the number of shares earned paid out at the end of the three-year performance period on November 15, 2023. The number of PSUs reported reflects the number of PSUs earned based on the issuer's Compensation and Talent Committee's certification of the level of achievement of AOI goals for the first one-year performance period (October 1, 2020 and ending on September 30, 2021).

Read SEC document
November 03, 2021 Filed Nov 5, 2021 20:22 UTC
Henrich John MSee Remarks
GrantRestricted stock units · Derivative 14,367 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-043277 · doc4.xml · derivative · entry 1

Henrich John M · CIK 0001779562 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,367

Underlying: Common Stock · 14,367 shares

Expires not disclosed

F1 · security: Grant of restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan.

F3 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning on November 15, 2022.

F2 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning on November 15, 2022.

Read SEC document
November 03, 2021 Filed Nov 5, 2021 20:16 UTC GrantRestricted stock units · Derivative 8,045 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-043268 · doc4.xml · derivative · entry 1

Cox Erin Nealy · CIK 0001681367 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,045

Underlying: Common Stock · 8,045 shares

Expires not disclosed

F1 · security: Grant of restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan.

F2 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: The restricted stock units vest on November 15, 2022. Vested shares will be delivered to the reporting person on the date such reporting person's service as a director of the issuer has terminated.

F3 · derivative.expiration_date: The restricted stock units vest on November 15, 2022. Vested shares will be delivered to the reporting person on the date such reporting person's service as a director of the issuer has terminated.

Read SEC document
November 03, 2021 Filed Nov 5, 2021 20:18 UTC
Paulonis DeniseDirector · President & CEO
GrantRestricted stock units · Derivative 122,126 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-043273 · doc4.xml · derivative · entry 1

Paulonis Denise · CIK 0001683382 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,126

Underlying: Common Stock · 122,126 shares

Expires not disclosed

F1 · security: Grant of restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan.

F3 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning on November 15, 2022.

F2 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning on November 15, 2022.

Read SEC document
November 03, 2021 Filed Nov 5, 2021 20:16 UTC GrantRestricted stock units · Derivative 2,855 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-043267 · doc4.xml · derivative · entry 2

Spinks Mark Gregory · CIK 0001649404 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,855

Underlying: Common Stock · 2,855 shares

Expires not disclosed

F1 · security: Grant of restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan.

F4 · security: Reflects earned performance stock units (PSUs). The PSUs were granted on January 27, 2021, and are comprised of three, one-year performance periods with goals related to adjusted operating income (AOI), with the number of shares earned paid out at the end of the three-year performance period on November 15, 2023. The number of PSUs reported reflects the number of PSUs earned based on the issuer's Compensation and Talent Committee's certification of the level of achievement of AOI goals for the first one-year performance period (October 1, 2020 and ending on September 30, 2021).

F3 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F4 · derivative.exercise_date: Reflects earned performance stock units (PSUs). The PSUs were granted on January 27, 2021, and are comprised of three, one-year performance periods with goals related to adjusted operating income (AOI), with the number of shares earned paid out at the end of the three-year performance period on November 15, 2023. The number of PSUs reported reflects the number of PSUs earned based on the issuer's Compensation and Talent Committee's certification of the level of achievement of AOI goals for the first one-year performance period (October 1, 2020 and ending on September 30, 2021).

F4 · derivative.expiration_date: Reflects earned performance stock units (PSUs). The PSUs were granted on January 27, 2021, and are comprised of three, one-year performance periods with goals related to adjusted operating income (AOI), with the number of shares earned paid out at the end of the three-year performance period on November 15, 2023. The number of PSUs reported reflects the number of PSUs earned based on the issuer's Compensation and Talent Committee's certification of the level of achievement of AOI goals for the first one-year performance period (October 1, 2020 and ending on September 30, 2021).

Read SEC document
November 03, 2021 Filed Nov 5, 2021 20:16 UTC GrantRestricted stock units · Derivative 17,241 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-043267 · doc4.xml · derivative · entry 1

Spinks Mark Gregory · CIK 0001649404 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,241

Underlying: Common Stock · 17,241 shares

Expires not disclosed

F1 · security: Grant of restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan.

F3 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning on November 15, 2022.

F2 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning on November 15, 2022.

Read SEC document
October 03, 2021 Filed Oct 5, 2021 22:17 UTC
Kohn Pamela KSVP, Chief Merchandising Offcr
Tax withholdingCommon Stock 1,642 $17.09 $28,061.78
Disclosure

SEC source: 0001127602-21-026728 · form4.xml · nonDerivative · entry 1

Kohn Pamela K · CIK 0001663054 · SVP, Chief Merchandising Offcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,513

F1 · shares: Divestiture of securities is solely in connection with payment of taxes incident to vesting of securities.

Read SEC document
October 01, 2021 Filed Oct 5, 2021 22:19 UTC
Paulonis DenisePresident & CEO
GrantRestricted Stock Units · Derivative 84,844 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-026730 · form4.xml · derivative · entry 2

Paulonis Denise · CIK 0001683382 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,844

Underlying: Common Stock · 84,844 shares

Expires not disclosed

F1 · derivative.exercise_price: Grant of options and restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan.

F2 · derivative.exercise_date: The options and restricted stock units vest in three equal annual installments beginning on October 1, 2022.

F2 · derivative.expiration_date: The options and restricted stock units vest in three equal annual installments beginning on October 1, 2022.

Read SEC document
October 01, 2021 Filed Oct 5, 2021 22:19 UTC
Paulonis DenisePresident & CEO
GrantEmployee Stock Option (Right to Buy) · Derivative 125,343 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-026730 · form4.xml · derivative · entry 1

Paulonis Denise · CIK 0001683382 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,343

Underlying: Common Stock · 125,343 shares

Expires not disclosed

F1 · derivative.exercise_price: Grant of options and restricted stock units under the Sally Beauty Holdings, Inc. 2019 Omnibus Incentive Plan.

F2 · derivative.exercise_date: The options and restricted stock units vest in three equal annual installments beginning on October 1, 2022.

F2 · derivative.expiration_date: The options and restricted stock units vest in three equal annual installments beginning on October 1, 2022.

Read SEC document
September 30, 2021 Filed Oct 4, 2021 16:58 UTC
Goss John Howard JRSVP & President, Sally Beauty
Tax withholdingCommon Stock 370 $16.85 $6,234.50
Disclosure

SEC source: 0001127602-21-026468 · form4.xml · nonDerivative · entry 1

Goss John Howard JR · CIK 0001833119 · SVP & President, Sally Beauty

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,003

F1 · shares: Divestiture of securities is solely in connection with payment of taxes incident to vesting of securities.

Read SEC document
September 30, 2021 Filed Oct 4, 2021 16:59 UTC
Sherman Scott CSVP & CHRO
Tax withholdingCommon Stock 665 $16.85 $11,205.25
Disclosure

SEC source: 0001127602-21-026471 · form4.xml · nonDerivative · entry 1

Sherman Scott C · CIK 0001718810 · SVP & CHRO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,279

F1 · shares: Divestiture of securities is solely in connection with payment of taxes incident to vesting of securities.

Read SEC document
September 30, 2021 Filed Oct 4, 2021 17:42 UTC
Brickman Christian A.Director · President & CEO
Exercise / conversionRestricted Stock Units · Derivative 3,802 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-026499 · form4.xml · derivative · entry 11

Brickman Christian A. · CIK 0001444027 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,802 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.expiration_date: Reflects shares vested in connection with reported person's termination.

Read SEC document
September 30, 2021 Filed Oct 4, 2021 17:42 UTC
Brickman Christian A.Director · President & CEO
Exercise / conversionRestricted Stock Units · Derivative 48,405 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-026499 · form4.xml · derivative · entry 10

Brickman Christian A. · CIK 0001444027 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,809

Underlying: Common Stock · 48,405 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F4 · derivative.exercise_date: Vested shares will be delivered to the reporting person on the date such reporting person's service as a Director of the Issuer has terminated.

F3 · derivative.expiration_date: Reflects shares vested in connection with reported person's termination.

Read SEC document
September 30, 2021 Filed Oct 4, 2021 17:42 UTC
Brickman Christian A.Director · President & CEO
Exercise / conversionRestricted Stock Units · Derivative 4,257 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-026499 · form4.xml · derivative · entry 9

Brickman Christian A. · CIK 0001444027 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,257 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.expiration_date: Reflects shares vested in connection with reported person's termination.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.