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 of Derivative Security: 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 - Settles Stock Appreciation Right
|
11/03/2016(1)
|
05/03/2020 |
Common Stock
|
25,000
|
$
65.255
|
D
|
Â
|
Stock - Settles Stock Appreciation Right
|
09/01/2018(2)
|
03/01/2020 |
Common Stock
|
15,000
|
$
70.745
|
D
|
Â
|
Restricted Stock Units
|
Â
(3)
|
Â
(3)
|
Common Stock
|
1,132
(8)
|
$
0
|
D
|
Â
|
Restricted Stock Units
|
Â
(4)
|
Â
(4)
|
Common Stock
|
1,261
(8)
|
$
0
|
D
|
Â
|
Restricted Stock Units
|
Â
(5)
|
Â
(5)
|
Common Stock
|
2,807
(8)
|
$
0
|
D
|
Â
|
Restricted Stock Units
|
Â
(6)
|
Â
(6)
|
Common Stock
|
2,019
(8)
|
$
0
|
D
|
Â
|
Restricted Stock Units
|
Â
(7)
|
Â
(7)
|
Common Stock
|
777
(8)
|
$
0
|
D
|
Â
|
* |
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). |
(1) |
Stock-Settled Stock Appreciation Rights vest 20% on the first anniversary of the grant date, 20% on the second anniversary of the grant date, 30% on the third anniversary of the grant date, and 30% on the fourth anniversary of the grant date. |
(2) |
Stock-Settled Stock Appreciation Rights vest 50% on the third anniversary of the grant date and 50% on the fourth anniversary of the grant date. |
(3) |
On May 1st, 2017, the reporting person was granted 1,132 restricted stock units, vesting at 25% on each 6th of February thereafter. |
(4) |
On October 23rd, 2017, the reporting person was granted 1,261 restricted stock units, vesting at 25% on the anniversary of the grant date. |
(5) |
On February 5th, 2018, the reporting person was granted 2,807 restricted stock units, vesting at 25% on the anniversary of the grant date. |
(6) |
On February 4th, 2019, the reporting person was granted 2,019 restricted stock units, vesting at 25% on the anniversary of the grant date. |
(7) |
On February 4th, 2019, the reporting person was granted 777 restricted stock units, vest 65% on the first anniversary and vest 35% on the second anniversary. |
(8) |
Each restricted stock unit represents a contingent right to receive one share of USNA common stock. |