SEC Form 4 · accession 0001209191-16-139465
Ulta Beauty, Inc. · ULTA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mary Dillon
Officer — Chief Executive Officer · Director
Period of report
Aug 30, 2016
Accepted (ET)
Sep 1, 2016 · 4:53 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 Stock | Aug 30, 2016 | M | 28,920 | $97.89 | A | 76,089 | D | |
| Common StockF1 | Aug 30, 2016 | S | 28,920 | $245.68 | D | 47,169 | D | |
| Common Stock | Aug 31, 2016 | M | 18,517 | $99.01 | A | 65,686 | D | |
| Common Stock | Aug 31, 2016 | M | 10,000 | $99.01 | A | 75,686 | D | |
| Common Stock | Aug 31, 2016 | M | 4,545 | $97.89 | A | 80,231 | D | |
| Common StockF2 | Aug 31, 2016 | S | 22,965 | $245.80 | D | 57,266 | 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 | $97.89 | Aug 30, 2016 | M | 28,920 | D | — | Mar 28, 2024 | Common Stock | 28,920 | 38,011 | D |
| Stock Option (right to buy)F4 | $99.01 | Aug 31, 2016 | M | 18,517 | D | — | Jul 1, 2023 | Common Stock | 18,517 | 6,173 | D |
| Stock Option (right to buy)F5 | $99.01 | Aug 31, 2016 | M | 10,000 | D | — | Jul 1, 2023 | Common Stock | 10,000 | 15,000 | D |
| Stock Option (right to buy)F3 | $97.89 | Aug 31, 2016 | M | 4,545 | D | — | Mar 28, 2024 | Common Stock | 4,545 | 33,466 | D |
Explanation of responses
- F1Weighted average price based on trades completed with prices between $245.00 and $246.40. 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 $244.15 and $247.81. 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 66,931 shares, vest 25% beginning on 3/16/2015 and each anniversary date thereafter.
- F4The options, representing a right to purchase a total of 24,690 shares, vest 25% on each anniversary date of the 07/01/2013 grant date.
- F5The options, representing a right to purchase a total of 25,000 shares, vest 20% on the first anniversary of the 07/01/2013 grant date, 20% on the third anniversary of the grant date, and 60% on the fifth anniversary of the grant date.