SEC Form 4 · accession 0001209191-15-027865
Ulta Beauty, Inc. · ULTA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert S Guttman
Officer — See Remarks
Period of report
Mar 17, 2015
Accepted (ET)
Mar 19, 2015 · 4:17 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 17, 2015 | S | 1,370 | $150.92 | D | 23,037 | D | |
| Common Stock | Mar 17, 2015 | M | 4,650 | $6.29 | A | 27,687 | D | |
| Common StockF2 | Mar 17, 2015 | S | 4,650 | $150.82 | D | 23,037 | D | |
| Common Stock | Mar 17, 2015 | M | 5,000 | $6.29 | A | 28,307 | D | |
| Common Stock | Mar 17, 2015 | M | 4,757 | $14.41 | A | 32,794 | D | |
| Common Stock | Mar 17, 2015 | M | 3,743 | $26.71 | A | 36,537 | 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)F3 | $6.29 | Mar 17, 2015 | M | 4,650 | D | — | Mar 24, 2019 | Common Stock | 4,650 | 10,350 | D |
| Stock Option (right to buy)F3 | $6.29 | Mar 17, 2015 | M | 5,000 | D | — | Mar 24, 2019 | Common Stock | 5,000 | 5,350 | D |
| Stock Option (right to buy)F4 | $14.41 | Mar 17, 2015 | M | 4,757 | D | — | Sep 9, 2019 | Common Stock | 4,757 | 15,150 | D |
| Stock Option (right to buy)F5 | $26.71 | Mar 17, 2015 | M | 3,743 | D | — | Sep 8, 2020 | Common Stock | 3,743 | 13,802 | D |
Explanation of responses
- F1Weighted average price based on trades completed with prices between $150.92 and $150.93. Reporting person shall undertake to provide a report of the shares sold at each price within the rage upon request of the SEC staff, the issuer or any security holder of the issuer.
- F2Weighted average price based on trades completed with prices between $150.70 and $150.911. Reporting person shall undertake to provide a report of the shares sold at each price within the rage upon request of the SEC staff, the issuer or any security holder of the issuer.
- F3The options, representing a right to purchase a total of 20,000 shares, vest 25% on each anniversary date of the 03/24/2009 grant date.
- F4The options, representing a right to purchase a total of 20,000 shares, vest 25% on each anniversary date of the 09/09/2009 grant date.
- F5The options, representing a right to purchase a total of 18,000 shares, vest 25% on each anniversary date of the 09/08/2010 grant date.
Remarks
SVP, General Counsel and Secretary