SEC Form 4
FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
RH [ RH ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 11/15/2022 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 11/15/2022 | M | 540 | A | $87.31(1) | 3,164 | D | |||
Common Stock | 11/15/2022 | S | 540 | D | $300 | 2,624 | D | |||
Common Stock | 11/15/2022 | M | 1,250 | A | $101.25(1) | 3,874 | D | |||
Common Stock | 11/15/2022 | S | 1,250 | D | $300 | 2,624 | D | |||
Common Stock | 11/15/2022 | M | 400 | A | $154.82(1) | 3,024 | D | |||
Common Stock | 11/15/2022 | S | 400 | D | $300 | 2,624 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 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: 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 | ||||||||
Employee Stock Option (right to buy) | $87.31 | 11/15/2022 | M | 540 | (2) | 05/05/2025 | Common Stock | 540 | $0 | 0 | D | ||||
Employee Stock Option (right to buy) | $101.25 | 11/15/2022 | M | 1,250 | (3) | 04/01/2029 | Common Stock | 1,250 | $0 | 3,000(4) | D | ||||
Employee Stock Option (right to buy) | $154.82 | 11/15/2022 | M | 400 | (5) | 04/28/2030 | Common Stock | 400 | $0 | 3,200 | D |
Explanation of Responses: |
1. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. |
2. Option vested in five equal annual installments beginning on 5/6/2016 and ending on 5/6/2020. |
3. This option award is vested and exercisable with respect to 1250 of the shares and will vest and become exercisable with respect to an additional 1000 shares on April 2, 2023, and an additional 2000 shares on April 2, 2024, subject to continuous service. |
4. In the Form 4 filed for the Reporting Person on April 20, 2022, such Form 4 inadvertently reported in column 9 that 1,250 shares remained subject to this option following exercise as reported in such Form 4. Such Form 4 should have reported in column 9 that 4,250 shares remained subject to this option following exercise. This has been corrected in this Form 4 by reflecting that 3,000 shares remain subject to this option following the Reporting Person's exercise of the employee options for 1,250 shares on November 15, 2022. |
5. This stock option award is vested and exercisable with respect to 400 of the shares and will vest and become exercisable with respect to an additional 400 shares on April 29, 2023, an additional 600 shares on April 29, 2024, an additional 600 shares on April 29, 2025, an additional 800 shares on April 29, 2026, and an additional 800 shares on April 29, 2027, subject to continuous service. |
Remarks: |
Chief Legal and Compliance Officer |
/s/ Edward T. Lee | 11/17/2022 | |
** 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 4 (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. |