SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 06/02/2021 | 3. Issuer Name and Ticker or Trading Symbol Ulta Beauty, Inc. [ ULTA ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 13,115(1)(2) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (right to buy) | (3) | 09/16/2021 | Common Stock | 2,423 | 116.15 | D | |
Stock Option (right to buy) | (4) | 03/25/2026 | Common Stock | 1,739 | 191.76 | D | |
Stock Option (right to buy) | (5) | 03/24/2027 | Common Stock | 4,867 | 281.53 | D | |
Stock Option (right to buy) | (6) | 03/29/2028 | Common Stock | 8,332 | 204.27 | D | |
Stock Option (right to buy) | (7) | 03/29/2029 | Common Stock | 5,578 | 348.73 | D | |
Stock Option (right to buy) | (8) | 03/27/2030 | Common Stock | 11,036 | 174.45 | D | |
Stock Option (right to buy) | (9) | 03/25/2031 | Common Stock | 6,306 | 306.59 | D |
Explanation of Responses: |
1. Includes grant of shares of restricted stock as follows: 2,010 shares vesting 100% on March 15, 2022; 2,293 shares vesting 100% on March 15, 2023; 3,442 shares vesting 100% on March 15, 2023; 2,139 shares vesting 100% on October 5, 2023; and 1,462 shares vesting on March 15, 2024. |
2. Includes 508 performance-based restricted share units, which were awarded on March 29, 2019 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, 2022, subject to continued employment. The Company's compensation committee certified on March 25, 2021 that the performance vesting goals were satisfied. |
3. The options, representing an initial right to purchase a total of 9,691 shares, vesting in 25% annual increments beginning September 16, 2015 and each anniversary thereafter through September 16, 2018. |
4. The options, representing an initial right to purchase a total of 3,478 shares, vesting in 25% annual increments beginning March 15, 2017 and each anniversary thereafter through March 15, 2020. |
5. The options, representing an initial right to purchase a total of 4,867 shares, vesting in 25% annual increments beginning March 15, 2018 and each anniversary thereafter through March 15, 2021. |
6. The options, representing an initial right to purchase a total of 8,332 shares, vesting in 25% annual increments beginning March 15, 2019 and each anniversary thereafter through March 15, 2022. |
7. The options, representing an initial right to purchase a total of 5,578 shares, vesting in 25% annual increments beginning March 15, 2020 and each anniversary thereafter through March 15, 2023. |
8. The options, representing an initial right to purchase a total of 11,036 shares, vesting in 25% annual increments beginning March 15, 2021 and each anniversary thereafter through March 15, 2024. |
9. The options, representing an initial right to purchase a total of 6,306 shares, vesting in 25% annual increments beginning March 15, 2022 and each anniversary thereafter through March 15, 2025. |
/s/ Jodi J. Caro, as attorney-in-fact for Kecia Steelman | 06/14/2021 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |