3: Initial statement of beneficial ownership of securities
Published on April 2, 2019
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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 03/29/2019 |
3. Issuer Name and Ticker or Trading Symbol
RH [ RH ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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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 | 1 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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 | ||||
Restricted Stock Unit (RSU) | (1) | (1) | Common Stock | 9,000 | (2) | D | |
Restricted Stock Unit (RSU) | (3) | (3) | Common Stock | 10,000 | (2) | D | |
Restricted Stock Unit (RSU) | (4) | (4) | Common Stock | 1,000 | (2) | D | |
Stock Option (Right to Buy) | (5) | 04/20/2026 | Common Stock | 27,500 | 44.52 | D | |
Stock Option (Right to Buy) | (6) | 06/26/2026 | Common Stock | 6,000 | 25.39 | D | |
Stock Option (Right to Buy) | (7) | 05/07/2024 | Common Stock | 40,000 | 61.3 | D | |
Stock Option (Right to Buy) | (8) | 05/05/2025 | Common Stock | 6,250 | 87.31 | D |
Explanation of Responses: |
1. This restricted stock unit award will vest with respect to 3,000 of the units annually on each of June 16, 2019 through 2021, subject to continuous service. |
2. Each restricted stock unit represents a contingent right to receive one share of RH common stock. |
3. This restricted stock unit award will vest with respect to all 10,000 remaining units on June 16, 2019, subject to continuous service. |
4. This restricted stock unit award will vest with respect to 500 of the units annually on each of June 16, 2019 through 2020, subject to continuous service. |
5. This option award is vested and exercisable with respect to 9,500 of the shares and will vest and become exercisable with respect to an additional 6,000 of the shares annually on each of April 21, 2019 through 2021, subject to continuous service. |
6. This option award is vested and exercisable with respect to 1,500 of the shares and will vest and become exercisable with respect to an additional 1,500 of the shares annually on each of June 27, 2019 through 2021, subject to continuous service. |
7. This option award is vested and exercisable with respect to 30,000 of the shares and will become fully vested on May 8, 2019, subject to continuous service. |
8. This option award is vested and exercisable with respect to 3,750 of the shares and will vest and become exercisable with respect to an additional 1,250 of the shares annually on each of May 6, 2019 through 2020, subject to continuous service. |
Remarks: |
/s/ Edward T. Lee as Attorney-In-Fact | 04/02/2019 | |
** 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. |