Initial Statement of Beneficial Ownership (3)
18 June 2021 - 6:46AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
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Walnut BRC, L.P. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
6/11/2021
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3. Issuer Name and Ticker or Trading Symbol
REGIS CORP [RGS]
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(Last)
(First)
(Middle)
655 MADISON AVE., 11TH FLOOR |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director ___X___ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
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(Street)
NEW YORK, NY 10065
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
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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, par value $0.05 per share | 5033581 | D (1)(2)(3) | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: 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 |
| Explanation of Responses: |
| (1) | In addition to Walnut BRC, L.P., a Delaware limited partnership ("Walnut"), this Form 3 is being filed jointly by New Walnut GP LLC, a Delaware limited liability company ("Walnut GP") (all of the foregoing, collectively, the "Reporting Persons"). The principal business address of the Reporting Persons is 655 Madison Avenue, 11th Floor, New York, New York 10065. |
| (2) | The securities reported on this Form 3 (the "Subject Securities") are held directly by Walnut. Walnut GP is the sole general partner of Walnut. |
| (3) | Walnut and Walnut GP, as entities with direct and indirect holdings, respectively, in the Subject Securities, may be deemed to beneficially own the Subject Securities for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended. Each of the Reporting Persons disclaims beneficial ownership of the Subject Securities except to the extent of any pecuniary interest therein. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Walnut BRC, L.P.
655 MADISON AVE., 11TH FLOOR
NEW YORK, NY 10065 |
| X |
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New Walnut GP LLC
655 MADISON AVE, 11TH FLOOR
NEW YORK, NY 10065 |
| X |
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Signatures
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| Walnut BRC, L.P. By: /s/ Barry L. Bloom, Manager of General Partner | | 6/17/2021 |
| **Signature of Reporting Person | Date |
| New Walnut GP LLC By: /s/ Barry L. Bloom, Manager | | 6/17/2021 |
| **Signature of Reporting Person | Date |
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