Sec Form 13G Filing - AMERIPRISE FINANCIAL INC (AMP) filing for REGIS CORP (RGS) - 2022-02-14

Insider filing report for Changes in Beneficial Ownership

  • Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
  • Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities and Exchange Act of 1934

 

 

Regis Corporation

(Name of Issuer)

Common Stock

(Title of Class of Securities)

758932107

(CUSIP Number)

December 31, 2021

(Date of Event Which Requires Filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

This Schedule is filed pursuant to Rule 13d-1(b)

The information required in the remainder of this cover page (except any items to which the form provides a cross-reference) shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act.

 

 

 

CUSIP NO. 758932107

 

  1)    

  Name of Reporting Person

 

  Ameriprise Financial, Inc.

 

  S.S. or I.R.S. Identification No. of Above Person

 

  IRS No. 13-3180631

  2)  

  Check the Appropriate Box if a Member of a Group

  (a)  ☐        (b)  ☒*

 

  3)  

  SEC Use Only

 

  4)  

  Citizenship or Place of Organization

 

  Delaware

NUMBER OF

SHARES

 BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

    5)    

  Sole Voting Power

 

  0

   6)  

  Shared Voting Power

 

  2,640,096

   7)  

  Sole Dispositive Power

 

  0

   8)  

  Shared Dispositive Power

 

  2,647,794

  9)    

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  2,647,794

10)  

  Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

  Not Applicable

11)  

  Percent of Class Represented by Amount In Row (9)

 

  5.84%

12)  

  Type of Reporting Person

 

  HC

 

*

This filing describes the reporting person’s relationship with other persons, but the reporting person does not affirm the existence of a group.

CUSIP NO. 758932107

 

  1)    

  Name of Reporting Person

 

  TAM UK International Holdings Limited

  2)  

  Check the Appropriate Box if a Member of a Group

  (a)  ☐        (b)  ☒*

 

  3)  

  SEC Use Only

 

  4)  

  Citizenship or Place of Organization

 

  England and Wales

NUMBER OF

SHARES

 BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

    5)    

  Sole Voting Power

 

  0

   6)  

  Shared Voting Power

 

  2,537,939

   7)  

  Sole Dispositive Power

 

  0

   8)  

  Shared Dispositive Power

 

  2,537,939

  9)    

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  2,537,939

10)  

  Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

  Not Applicable

11)  

  Percent of Class Represented by Amount In Row (9)

 

  5.59%

12)  

  Type of Reporting Person

 

  FI

 

*

This filing describes the reporting person’s relationship with other persons, but the reporting person does not affirm the existence of a group.

CUSIP NO. 758932107

 

  1)    

  Name of Reporting Person

 

  Threadneedle Asset Management Oversight Limited

  2)  

  Check the Appropriate Box if a Member of a Group

  (a)  ☐        (b)  ☒*

 

  3)  

  SEC Use Only

 

  4)  

  Citizenship or Place of Organization

 

  England and Wales

NUMBER OF

SHARES

 BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

    5)    

  Sole Voting Power

 

  0

   6)  

  Shared Voting Power

 

  2,537,939

   7)  

  Sole Dispositive Power

 

  0

   8)  

  Shared Dispositive Power

 

  2,537,939

  9)    

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  2,537,939

10)  

  Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

  Not Applicable

11)  

  Percent of Class Represented by Amount In Row (9)

 

  5.59%

12)  

  Type of Reporting Person

 

  FI

 

*

This filing describes the reporting person’s relationship with other persons, but the reporting person does not affirm the existence of a group.

CUSIP NO. 758932107

 

  1)    

  Name of Reporting Person

 

  Ameriprise International Holdings GmbH

  2)  

  Check the Appropriate Box if a Member of a Group

  (a)  ☐        (b)  ☒*

 

  3)  

  SEC Use Only

 

  4)  

  Citizenship or Place of Organization

 

  Switzerland

NUMBER OF

SHARES

 BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

    5)    

  Sole Voting Power

 

  0

   6)  

  Shared Voting Power

 

  2,537,939

   7)  

  Sole Dispositive Power

 

  0

   8)  

  Shared Dispositive Power

 

  2,537,939

  9)    

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  2,537,939

10)  

  Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

  Not Applicable

11)  

  Percent of Class Represented by Amount In Row (9)

 

  5.59%

12)  

  Type of Reporting Person

 

  FI

 

*

This filing describes the reporting person’s relationship with other persons, but the reporting person does not affirm the existence of a group.

CUSIP NO. 758932107

 

  1)    

  Name of Reporting Person

 

  Threadneedle Asset Management Holdings Sarl

  2)  

  Check the Appropriate Box if a Member of a Group

  (a)  ☐        (b)  ☒*

 

  3)  

  SEC Use Only

 

  4)  

  Citizenship or Place of Organization

 

  Luxembourg

NUMBER OF

SHARES

 BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

    5)    

  Sole Voting Power

 

  0

   6)  

  Shared Voting Power

 

  2,537,939

   7)  

  Sole Dispositive Power

 

  0

   8)  

  Shared Dispositive Power

 

  2,537,939

  9)    

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  2,537,939

10)  

  Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

  Not Applicable

11)  

  Percent of Class Represented by Amount In Row (9)

 

  5.59%

12)  

  Type of Reporting Person

 

  FI

 

*

This filing describes the reporting person’s relationship with other persons, but the reporting person does not affirm the existence of a group.

CUSIP NO. 758932107

 

  1)    

  Name of Reporting Person

 

  Threadneedle Holdings Limited

  2)  

  Check the Appropriate Box if a Member of a Group

  (a)  ☐        (b)  ☒*

 

  3)  

  SEC Use Only

 

  4)  

  Citizenship or Place of Organization

 

  England and Wales

NUMBER OF

SHARES

 BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

    5)    

  Sole Voting Power

 

  0

   6)  

  Shared Voting Power

 

  2,537,939

   7)  

  Sole Dispositive Power

 

  0

   8)  

  Shared Dispositive Power

 

  2,537,939

  9)    

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  2,537,939

10)  

  Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

  Not Applicable

11)  

  Percent of Class Represented by Amount In Row (9)

 

  5.59%

12)  

  Type of Reporting Person

 

  FI

 

*

This filing describes the reporting person’s relationship with other persons, but the reporting person does not affirm the existence of a group.

CUSIP NO. 758932107

 

  1 )    

  Name of Reporting Person

 

  TAM UK Holdings Limited

  2)  

  Check the Appropriate Box if a Member of a Group

  (a)  ☐        (b)  ☒*

 

  3)  

  SEC Use Only

 

  4)  

  Citizenship or Place of Organization

 

  England and Wales

NUMBER OF

SHARES

 BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

    5)    

  Sole Voting Power

 

  0

   6)  

  Shared Voting Power

 

  2,537,939

   7)  

  Sole Dispositive Power

 

  0

   8)  

  Shared Dispositive Power

 

  2,537,939

  9)    

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  2,537,939

10)  

  Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

  Not Applicable

11)  

  Percent of Class Represented by Amount In Row (9)

 

  5.59%

12)  

  Type of Reporting Person

 

  FI

 

*

This filing describes the reporting person’s relationship with other persons, but the reporting person does not affirm the existence of a group.

CUSIP NO. 758932107

 

  1)    

  Name of Reporting Person

 

  Threadneedle Asset Management Holdings Limited

  2)  

  Check the Appropriate Box if a Member of a Group

  (a)  ☐        (b)  ☒*

 

  3)  

  SEC Use Only

 

  4)  

  Citizenship or Place of Organization

 

  England and Wales

NUMBER OF

SHARES

 BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

    5)    

  Sole Voting Power

 

  0

   6)  

  Shared Voting Power

 

  2,537,939

   7)  

  Sole Dispositive Power

 

  0

   8)  

  Shared Dispositive Power

 

  2,537,939

  9)    

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  2,537,939

10)  

  Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

  Not Applicable

11)  

  Percent of Class Represented by Amount In Row (9)

 

  5.59%

12)  

  Type of Reporting Person

 

  FI

 

*

This filing describes the reporting person’s relationship with other persons, but the reporting person does not affirm the existence of a group.

CUSIP NO. 758932107

 

  1)    

  Name of Reporting Person

 

  TC Financing Ltd

  2)  

  Check the Appropriate Box if a Member of a Group

  (a)  ☐        (b)  ☒*

 

  3)  

  SEC Use Only

 

  4)  

  Citizenship or Place of Organization

 

  England and Wales

NUMBER OF

SHARES

 BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

    5)    

  Sole Voting Power

 

  0

   6)  

  Shared Voting Power

 

  2,537,939

   7)  

  Sole Dispositive Power

 

  0

   8)  

  Shared Dispositive Power

 

  2,537,939

  9)    

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  2,537,939

10)  

  Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

  Not Applicable

11)  

  Percent of Class Represented by Amount In Row (9)

 

  5.59%

12)  

  Type of Reporting Person

 

  FI

 

*

This filing describes the reporting person’s relationship with other persons, but the reporting person does not affirm the existence of a group.

CUSIP NO. 758932107

 

  1)    

  Name of Reporting Person

 

  Threadneedle Asset Management Limited

  2)  

  Check the Appropriate Box if a Member of a Group

  (a)  ☐        (b)  ☒*

 

  3)  

  SEC Use Only

 

  4)  

  Citizenship or Place of Organization

 

  England and Wales

NUMBER OF

SHARES

 BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

    5)    

  Sole Voting Power

 

  0

   6)  

  Shared Voting Power

 

  2,537,939

   7)  

  Sole Dispositive Power

 

  0

   8)  

  Shared Dispositive Power

 

  2,537,939

  9)    

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  2,537,939

10)  

  Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

  Not Applicable

11)  

  Percent of Class Represented by Amount In Row (9)

 

  5.59%

12)  

  Type of Reporting Person

 

  FI

 

*

This filing describes the reporting person’s relationship with other persons, but the reporting person does not affirm the existence of a group.

CUSIP NO. 758932107

 

  1)    

  Name of Reporting Person

 

  Threadneedle Investment Services Limited

  2)  

  Check the Appropriate Box if a Member of a Group

  (a)  ☐        (b)  ☒*

 

  3)  

  SEC Use Only

 

  4)  

  Citizenship or Place of Organization

 

  England and Wales

NUMBER OF

SHARES

 BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

    5)    

  Sole Voting Power

 

  0

   6)  

  Shared Voting Power

 

  2,537,939

   7)  

  Sole Dispositive Power

 

  0

   8)  

  Shared Dispositive Power

 

  2,537,939

  9)    

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  2,537,939

10)  

  Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

  Not Applicable

11)  

  Percent of Class Represented by Amount In Row (9)

 

  5.59%

12)  

  Type of Reporting Person

 

  FI

 

*

This filing describes the reporting person’s relationship with other persons, but the reporting person does not affirm the existence of a group.

1(a)  Name of Issuer:

    Regis Corporation.

1(b)  Address of Issuer’s Principal Executive Offices:

   

3701 Wayzata Boulevard, Suite 500

Minneapolis, MN 55416

2(a)  Name of Person Filing:

    (a) Ameriprise Financial, Inc. (“AFI”)
   (b) TAM UK International Holdings Limited (“TAMUKI”)
   (c) Threadneedle Asset Management Oversight Limited (“TAMOL”)
   (d) Ameriprise International Holdings GmbH (“AIHG”)
   (e) Threadneedle Asset Management Holdings Sarl (“TAMH”)
   (f) Threadneedle Holdings Limited (“THL”)
   (g) TAM UK Holdings Limited (“TUHL”)
   (h) Threadneedle Asset Management Holdings Limited (“TAMHL”)
   (i) TC Financing Ltd (“TCFL”)
   (j) Threadneedle Asset Management Limited (“TAML”)
   (k) Threadneedle Investment Services Limited (“TISL”)
   Persons (a) through (k) are sometimes referred to herein as the “Ameriprise Entities”.

2(b)  Address of Principal Business Office:

    (a) Ameriprise Financial, Inc.
   145 Ameriprise Financial Center
   Minneapolis, MN 55474
   (b) Cannon Place, 78 Cannon Street, London, EC4N 6AG
   (c) Cannon Place, 78 Cannon Street, London, EC4N 6AG
   (d) Lambrigger Treuhand AG, Industriestrasse 49, 6300 Zug, Switzerland
   (e) 19 rue de Bitbourg, Luxembourg, 1273
   (f) Cannon Place, 78 Cannon Street, London, EC4N 6AG
   (g) Cannon Place, 78 Cannon Street, London, EC4N 6AG
   (h) Cannon Place, 78 Cannon Street, London, EC4N 6AG
   (i) Cannon Place, 78 Cannon Street, London, EC4N 6AG
   (j) Cannon Place, 78 Cannon Street, London, EC4N 6AG
   (k) Cannon Place, 78 Cannon Street, London, EC4N 6AG

2(c) Citizenship:    (a) Delaware
   (b) England and Wales
   (c) England and Wales
   (d) Switzerland
   (e) Luxembourg
   (f) England and Wales
   (g) England and Wales
   (h) England and Wales
   (i) England and Wales
   (j) England and Wales
   (k) England and Wales
2(d) Title of Class of Securities:    Common Stock
2(e) Cusip Number:    758932107

 

3

Information if statement is filed pursuant to Rules 13d-1(b) or 13d-2(b):

(a) Ameriprise Financial, Inc.

A parent holding company in accordance with Rule 13d-1(b)(1)(ii)(G). (Note: See Item 7)

(b) TAM UK International Holdings Limited

A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J).

(c) Threadneedle Asset Management Oversight Limited

A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J).

(d) Ameriprise International Holdings GmbH

A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J).

(e) Threadneedle Asset Management Holdings Sarl

A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J).

(f) Threadneedle Holdings Limited

A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J).

(g) TAM UK Holdings Limited

A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J).

(h) Threadneedle Asset Management Holdings Limited

A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J).

(i) TC Financing Ltd

A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J).

(j) Threadneedle Asset Management Limited

A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J).

(k) Threadneedle Investment Services Limited

A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J).

 

4

Incorporated by reference to Items (5)-(9) and (11) of the cover page pertaining to each reporting person.

AFI, as the parent company of the other Ameriprise Entities, may be deemed to beneficially own the shares reported herein by those reporting persons. Accordingly, the shares reported herein by AFI include those shares separately reported herein by those reporting persons.

Each of the Ameriprise Entities disclaims beneficial ownership of any shares reported on this Schedule.

 

5

Ownership of 5% or Less of a Class: Not Applicable

 

6

Ownership of more than 5% on Behalf of Another Person: Not Applicable

 

7

Identification and Classification of the Subsidiaries Which Acquired the Security Being Reported on by the Parent Holding Company:

AFI: See Exhibit I

 

8

Identification and Classification of Members of the Group:

Not Applicable

 

9

Notice of Dissolution of Group:

Not Applicable

10

Certification:

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect.

Signature

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Dated: February 14, 2022

 

Ameriprise Financial, Inc.
    By:  

/s/ Michael G. Clarke

    Name: Michael G. Clarke
    Title: Senior Vice President, Head of Global     Operations
Ameriprise International Holdings GmbH
    By:  

/s/ James R. Debuse

    Name: James R. Debuse
    Title: Director
TAM UK International Holdings Limited
Threadneedle Asset Management Oversight Limited
Threadneedle Asset Management Holdings Sarl
Threadneedle Holdings Limited
TAM UK Holdings Limited
Threadneedle Asset Management Holdings Limited
TC Financing Ltd
Threadneedle Asset Management Limited
Threadneedle Investment Services Limited
By Columbia Management Investment
    Advisers, LLC, as Attorney in Fact
    By:  

/s/ Michael G. Clarke

    Name: Michael G. Clarke
    Title: Senior Vice President, Head of Global     Operations
Contact Information
    Mark D. Braley
    Vice President
    Head of Reporting and Data Management| Global     Operations and Investor Services
    Telephone: (617) 747-0663

Exhibit Index

 

Exhibit I    Identification and Classification of the Subsidiaries which Acquired the Security Being Reported on by the Parent Holding Company.
Exhibit II    Joint Filing Agreement
Exhibit III    Powers of Attorney