SEC Form 4 · accession 0001140361-18-016426
Ulta Beauty, Inc. · ULTA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jodi J Caro
Officer — GC and Corporate Secretary
Period of report
Mar 29, 2018
Accepted (ET)
Apr 2, 2018 · 4:41 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001403568
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 29, 2018 | A | 1,162 | $0.00 | A | 2,209 | D | |
| Common StockF2 | Mar 29, 2018 | A | 524 | $0.00 | A | 2,733 | D | |
| Common StockF3 | Mar 29, 2018 | A | 490 | $0.00 | A | 3,223 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F4 | $204.27 | Mar 29, 2018 | A | 5,340 | A | — | Mar 29, 2028 | Common Stock | 5,340 | 5,340 | D |
Explanation of responses
- F1Represents 1,162 performance-based restricted share units, which were awarded on March 25, 2016 under the Amended and Restated Ulta Beauty, Inc. 2011 Incentive Award Plan. Each performance-based restricted share unit represents the right to one share of common stock, which vested based on satisfaction of certain performance goals and a time-based service vesting restriction which lapses on March 15, 2019, subject to continued employment. The Company's compensation committee certified on March 29, 2018 that the performance vesting goals were satisfied.
- F2Represents a grant of 524 restricted stock units, each representing one share of common stock, vesting 100% on March 15, 2021.
- F3Represents a grant of 490 restricted stock units, each representing one share of common stock, vesting 25% beginning on 3/15/2019 and on each anniversary thereafter.
- F4The options, representing a right to purchase a total of 5,340 shares of common stock, vesting in 25% annual increments beginning March 15, 2019 and each anniversary thereafter through March 15, 2022.