SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO
(Amendment No. 1)*
(Name of Issuer)
Common Stock, par value $0.0001 per share
(Title of Class of Securities)
15 Koch Road, Suite K
Corte Madera, CA 94925
Telephone: (415) 924-1005
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
December 9, 2019
(Date of Event Which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box ☐.
Note. Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b) for other parties to whom copies are to be sent.
The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (the Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
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Names of reporting persons
Gary G. Friedman
Check the appropriate box if a member of a group (see instructions)
(a) ☐ (b) ☐
SEC use only
Source of funds (see instructions)
Check if disclosure of legal proceeding is required pursuant to Items 2(d) or 2(e)
Citizenship or place of organization
Sole voting power
Shared voting power
Sole dispositive power
Shared dispositive power
Aggregate amount beneficially owned by each reporting person
Check if the aggregate amount in Row (11) excludes certain shares (see instructions)
Percent of class represented by amount in Row (11)
Type of reporting person (see instructions)
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This Amendment No. 1 to Schedule 13D relates to the common stock (the Common Stock) of RH (Issuer), and amends the initial statement on Schedule 13D filed by the undersigned on February 14, 2018, as specifically set forth herein.
ITEM 5. Interest in Securities of the Issuer.
Item 5 is hereby amended and restated in its entirety as follows:
(a) Mr. Friedman beneficially owns 6,730,158 shares of Common Stock of the Issuer, representing beneficial ownership of 28.1% of the shares of Common Stock outstanding as of December 12, 2019, assuming 19,044,856 shares outstanding, representing (i) 1,853,332 shares outstanding as of December 12, 2019, and (ii) 4,876,826 shares subject to options to purchase Common Stock exercisable within 60 days of December 12, 2019.
(b) Mr. Friedman has sole voting and dispositive power with respect to the indicated shares of Common Stock.
(c) With respect to transactions in the Issuers Common Stock during the sixty (60) days preceding the date of this filing: on December 9, 2019, Mr. Friedman exercised options to purchase 56,338 shares of Common Stock at an exercise price of $46.50 per share and Mr. Friedman sold 161,284 shares of Common Stock at an average per share sales price ranging from $237.00 to $240.56; on December 10, 2019, Mr. Friedman exercised options to purchase 20,798 shares of Common Stock at an exercise price of $46.50 per share and Mr. Friedman sold 159,080 shares of Common Stock at an average per share sales price ranging from $233.00 to $237.08; and on December 11, 2019, Mr. Friedman exercised options to purchase 22,864 shares of Common Stock at an exercise price of $46.50 per share and Mr. Friedman sold 179,636 shares of Common Stock at an average per share sales price ranging from $230.33 to $234.16. Other than the foregoing, no transactions in the shares of Common Stock of the Issuer have been effected by Mr. Friedman in the last sixty (60) days.
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After reasonable inquiry and to the best of his knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct.
Dated: December 12, 2019
|/s/ Gary G. Friedman|
|Gary G. Friedman|