Statement of Changes in Beneficial Ownership (4)
March 27 2019 - 4:56PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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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
*
Kimbell David C
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2. Issuer Name
and
Ticker or Trading Symbol
Ulta Beauty, Inc.
[
ULTA
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
See Remarks
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(Last)
(First)
(Middle)
1000 REMINGTON BLVD, SUITE 120
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3. Date of Earliest Transaction
(MM/DD/YYYY)
3/25/2019
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(Street)
BOLINGBROOK, IL 60440
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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3/25/2019
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M
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2811
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A
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$98.64
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13716
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D
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Common Stock
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3/25/2019
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M
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1969
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A
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$97.89
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15685
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D
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Common Stock
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3/25/2019
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M
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3631
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A
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$151.20
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19316
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D
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Common Stock
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3/25/2019
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M
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7041
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A
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$191.76
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26357
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D
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Common Stock
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3/25/2019
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S
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15452
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D
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$333.4951
(1)
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10905
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (right to buy)
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$98.64
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3/25/2019
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M
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2811
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(2)
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3/18/2024
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Common Stock
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2811
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$0
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0
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D
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Stock Option (right to buy)
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$97.89
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3/25/2019
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M
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1969
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(3)
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3/28/2024
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Common Stock
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1969
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$0
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0
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D
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Stock Option (right to buy)
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$151.20
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3/25/2019
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M
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3631
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(4)
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3/27/2025
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Common Stock
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3631
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$0
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0
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D
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Stock Option (right to buy)
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$191.76
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3/25/2019
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M
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7041
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(5)
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3/25/2026
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Common Stock
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7041
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$0
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2347
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D
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Explanation of Responses:
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(1)
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The price reported in Column 4 is a weighted average price. The prices actually received ranged from $332.400 to $334.665. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.
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(2)
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The options, representing a right to purchase a total of 11,241 shares, vest 25% beginning on each anniversary date of the 3/18/2014 grant date.
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(3)
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The options, representing a right to purchase a total of 7,874 shares, vest 25% beginning on 3/16/2015 and on each anniversary date thereafter.
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(4)
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The options, representing a right to purchase a total of 3,631 shares, vest 25% beginning on 3/15/2016 and on each anniversary date thereafter.
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(5)
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The options, representing a right to purchase a total of 9,388 shares, vest in 25% increments beginning on 3/15/2017 and each anniversary thereafter through 3/15/2020.
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Remarks:
Chief Merchandising and Marketing Officer
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Kimbell David C
1000 REMINGTON BLVD
SUITE 120
BOLINGBROOK, IL 60440
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See Remarks
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Signatures
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/s/ Jodi J. Caro, as attorney-in-fact for David C. Kimbell
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3/27/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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 control number.
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