UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock - Settles Stock Appreciation Right | 09/01/2017(1) | 03/01/2020 | Common Stock | 30,000 | $ 70.745 | D | Â |
Restricted Stock Units | Â (2) | Â (2) | Common Stock | 1,293 (6) | $ 0 | D | Â |
Restricted Stock Units | Â (3) | Â (3) | Common Stock | 1,261 (6) | $ 0 | D | Â |
Restricted Stock Units | Â (4) | Â (4) | Common Stock | 2,892 (6) | $ 0 | D | Â |
Restricted Stock Units | Â (5) | Â (5) | Common Stock | 1,726 (6) | $ 0 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Foukas Joshua 3838 WEST PARKWAY BLVD. SALT LAKE CITYÂ 84120 |
 |  |  Chief Legal Officer |  |
Joshua Foukas | 08/03/2018 | |
**Signature of Reporting Person | Date |
* | 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 40% 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) | On May 1st, 2017, the reporting person was granted 1,723 restricted stock units, vesting at 25% on each 6th of February thereafter. |
(3) | On October 23rd, 2017, the reporting person was granted 1,261 restricted stock units, vesting at 25% on the anniversary of the grant date. |
(4) | On February 5th, 2018, the reporting person was granted 2,892 restricted stock units, vesting at 25% on the anniversary of the grant date. |
(5) | On July 23rd, 2018, the reporting person was granted 1,726 restricted stock units, vesting at 25% on the anniversary of the grant date. |
(6) | Each restricted stock unit represents a contingent right to receive one share of USNA common stock. |