SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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*
Suarez James Raymon

(Last) (First) (Middle)
3701 WAYZATA BLVD
SUITE 500

(Street)
MINNEAPOLIS MN 55416

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
02/08/2022
3. Issuer Name and Ticker or Trading Symbol
REGIS CORP [ RGS ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
SVP Merchandising & Education
5. If Amendment, Date of Original Filed (Month/Day/Year)
02/11/2022
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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 69,214(1) D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: 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
Stock Options (2) 11/05/2031 Common Stock 20,000(3) $2.76 D
Explanation of Responses:
1. In addition to the 29,343 shares reported on the Reporting Person's original Form 3, includes (i) 22,775 unvested restricted stock units (RSUs), each representing the contingent right to receive one share of RGS common stock upon vesting, and (ii) 17,096 performance stock units (PSUs), which vest if and to the extent certain market-based conditions are met during performance periods ending September 15, 2022 and September 14, 2023, subject to the Reporting Person's continued employment with the Issuer through the applicable anniversary and other terms and conditions of the applicable grant agreements, each representing the contingent right to receive one share of RGS common stock upon vesting, which were inadvertently omitted from the original Form 3.
2. The award vests at the rate of 20% on the first anniversary of the grant date, 20% on the second anniversary of the grant date and 60% on the third anniversary of the grant date, subject to the Reporting Person's continued employment with the Issuer through such anniversaries and other terms of the grant agreement.
3. Reports stock options that were inadvertently omitted from the original Form 3.
Remarks:
/s/ James R. Suarez 06/17/2022
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.