0001225208-14-007547.txt : 20140305 0001225208-14-007547.hdr.sgml : 20140305 20140305165651 ACCESSION NUMBER: 0001225208-14-007547 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140303 FILED AS OF DATE: 20140305 DATE AS OF CHANGE: 20140305 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Sally Beauty Holdings, Inc. CENTRAL INDEX KEY: 0001368458 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-RETAIL STORES, NEC [5990] IRS NUMBER: 362257936 FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 3001 COLORADO BOULEVARD CITY: DENTON STATE: TX ZIP: 76210 BUSINESS PHONE: (940) 898-7500 MAIL ADDRESS: STREET 1: 3001 COLORADO BOULEVARD CITY: DENTON STATE: TX ZIP: 76210 FORMER COMPANY: FORMER CONFORMED NAME: New Sally Holdings, Inc. DATE OF NAME CHANGE: 20060707 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WINTERHALTER GARY CENTRAL INDEX KEY: 0001328443 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33145 FILM NUMBER: 14670029 MAIL ADDRESS: STREET 1: SALLY BEAUTY COMPANY, INC. STREET 2: 3001 COLORADO BOULEVARD CITY: DENTON STATE: TX ZIP: 76210 4 1 doc4.xml X0306 4 2014-03-03 0001368458 Sally Beauty Holdings, Inc. SBH 0001328443 WINTERHALTER GARY C/O SALLY BEAUTY HOLDINGS, INC. 3001 COLORADO BLVD DENTON TX 76210 1 1 Chairman, President & CEO Common Stock 2014-03-03 4 M 0 50313.0000 9.6600 A 121204.0000 D Common Stock 2014-03-03 4 S 0 50313.0000 28.4296 D 70891.0000 D Common Stock 2014-03-04 4 M 0 437994.0000 8.8000 A 508885.0000 D Common Stock 2014-03-04 4 M 0 9516.0000 9.6600 A 518401.0000 D Common Stock 2014-03-04 4 S 0 447510.0000 28.4885 D 70891.0000 D Common Stock 2014-03-03 4 S 0 29200.0000 28.4252 D 56766.0000 I by trust B Common Stock 2014-03-04 4 S 0 5800.0000 28.4408 D 50966.0000 I by trust B Common Stock 2014-03-03 4 S 0 30714.0000 28.4275 D 55251.0000 I by trust C Common Stock 2014-03-04 4 S 0 4286.0000 28.4485 D 50965.0000 I by trust C Common Stock 2668.9582 I by 401(k) Profit Sharing Common Stock 123630.0000 I by trust A Employee Stock Option (Right to Buy) 9.6600 2014-03-03 4 M 0 50313.0000 9.6600 D 2017-04-26 Common Stock 50313.0000 9516.0000 D Employee Stock Option (Right to Buy) 9.6600 2014-03-04 4 M 0 9516.0000 9.6600 D 2017-04-26 Common Stock 9516.0000 0.0000 D Employee Stock Option (Right to Buy) 8.8000 2014-03-04 4 M 0 437994.0000 8.8000 D 2017-10-24 Common Stock 437994.0000 12006.0000 D Reflects the weighted average sale price. The range of prices for these transactions was $28.40 to $28.52. The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide, upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. Reflects the weighted average sale price. The range of prices for these transactions was $28.40 to $28.67. The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide, upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. Reflects the weighted average sale price. The range of prices for these transactions was $28.40 to $28.50. The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide, upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. Shares held by the Gary G. Winterhalter Irrevocable Trust. Proceeds from the sale of shares held in the Gary G. Winterhalter Irrevocable Trust benefit the reporting person's children as beneficiaries of the trust. Reflects the weighted average sale price. The range of prices for these transactions was $28.40 to $28.56. The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide, upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. Reflects the weighted average sale price. The range of prices for these transactions was $28.40 to $28.51. The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide, upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. Shares held by the Joanne Winterhalter Irrevocable Trust. Proceeds from the sale of shares held in the Joanne Winterhalter Irrevocable Trust benefit the reporting person's children as beneficiaries of the trust. Reflects the weighted average sale price. The range of prices for these transactions was $28.40 to $28.57. The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide, upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. The options vest in four equal annual installments beginning on September 29, 2007. The options vest annually in four equal installments beginning on October 23, 2008. Matt Haltom, Attorney-in-fact 2014-03-05