-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, TgdwhfU2aAqXOzIqE+h1uNQLdf7+TLg8jM9EGwEILVHQDxXcv6jQz22vxpSgzBAH CmYLYd8nJZqM4JbfRSgrhQ== 0001104659-08-009784.txt : 20080213 0001104659-08-009784.hdr.sgml : 20080213 20080213140311 ACCESSION NUMBER: 0001104659-08-009784 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20080213 DATE AS OF CHANGE: 20080213 GROUP MEMBERS: ANN H. LAMONT GROUP MEMBERS: BANDEL L. CARANO GROUP MEMBERS: EDWARD F. GLASSMEYER GROUP MEMBERS: FREDRIC W. HARMAN GROUP MEMBERS: GERALD R. GALLAGHER GROUP MEMBERS: OAK ASSOCIATES VII, LLC GROUP MEMBERS: OAK INVESTMENT PARTNERS VII, LIMITED PARTNERSHIP GROUP MEMBERS: OAK VII AFFILIATES FUND, LIMITED PARTNERSHIP GROUP MEMBERS: OAK VII AFFILIATES, LLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Ulta Salon, Cosmetics & Fragrance, Inc. CENTRAL INDEX KEY: 0001403568 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-RETAIL STORES, NEC [5990] IRS NUMBER: 363685240 STATE OF INCORPORATION: DE FISCAL YEAR END: 0203 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-83683 FILM NUMBER: 08603408 BUSINESS ADDRESS: STREET 1: 1135 ARBOR DRIVE CITY: ROMEOVILLE STATE: IL ZIP: 60446 BUSINESS PHONE: (630) 226-0020 MAIL ADDRESS: STREET 1: 1135 ARBOR DRIVE CITY: ROMEOVILLE STATE: IL ZIP: 60446 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: OAK MANAGEMENT CORP CENTRAL INDEX KEY: 0001030818 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: ONE GORHAM ISLAND CITY: WESTPORT STATE: CT ZIP: 06880 BUSINESS PHONE: 2032268346 MAIL ADDRESS: STREET 1: ONE GORHAM ISLAND CITY: WESTPORT STATE: CT ZIP: 06880 SC 13G 1 a08-5560_2sc13g.htm SC 13G

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C.  20549

 

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934

(Amendment No.      )*

 

 

Ulta Salon, Cosmetics & Fragrance, Inc.

---------------------------------------------

(Name of Issuer)

 

 

Common Stock, $.01 par value per share

---------------------------------------------

(Title of Class of Securities)

 

 

90384S303

---------------------------------------------

(CUSIP Number)

 

 

December 31, 2007

---------------------------------------------

(Date of Event which Requires Filing of this Statement)

 

     Check the appropriate box to designate the rule pursuant to which this Schedule is filed.

                                                [   ]                               Rule 13d-1(b)

                                                [   ]                               Rule 13d-1(c)

                                                [X]                               Rule 13d-1(d)

 

     *The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

 

     The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 


 

CUSIP No. 90384S303

13G

Page 2 of 18 Pages

 

------------------------------------------------------------------------------

(1)                                  Names of Reporting Persons.

                                                Oak Investment Partners VII, Limited Partnership

                                                06-1477520

------------------------------------------------------------------------------

(2)                                  Check the Appropriate Box if a Member of a Group (See Instructions)

 

                                                (a)  [   ]

                                                (b)  [X]

------------------------------------------------------------------------------

(3)                                  SEC Use Only

------------------------------------------------------------------------------

(4)                                  Citizenship or Place of Organization

 

                                                Delaware

------------------------------------------------------------------------------

Number of Shares                                                                                                 (5)  Sole Voting Power

 Beneficially Owned                                                                                                                                      6,189,278

 by Each Reporting                                                                                          ------------------------------------------

 Person With                                                                                                                          (6)  Shared Voting Power

                                                                                                                                                       &# 160;                                                                                        0

                                                                                                                                                       &# 160;                                        ------------------------------------------

                                                                                                                                                       &# 160;                                        (7)  Sole Dispositive Power

                                                                                                                                                       &# 160;                                                                                        6,189,278

                                                                                                                                                        & #160;                                       ------------------------------------------

                                                                                                                                                       &# 160;                                        (8) Shared Dispositive Power

                                                                                                                                                       &# 160;                                                                                        0

----------------------------------------------------------------------------

(9)                                  Aggregate Amount Beneficially Owned by Each Reporting Person

 

                                                6,189,278

----------------------------------------------------------------------------

(10)                            Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

                                                [   ]

----------------------------------------------------------------------------

(11)                            Percent of Class Represented by Amount in Row (9)

 

                                                10.9%1

----------------------------------------------------------------------------

(12)                            Type of Reporting Person (See Instructions)

 

                                                PN

----------------------------------------------------------------------------


1 Based on 56,810,994 shares of the Issuer’s Common Stock outstanding as of December 7, 2007, as set forth in the Issuer’s quarterly report on Form 10-Q dated December 13, 2007.

 


 

CUSIP No. 90384S303

13G

Page 3 of 18 Pages

 

------------------------------------------------------------------------------

(1)                                  Names of Reporting Persons.

                                                Oak VII Affiliates Fund, Limited Partnership

                                                06-6443681

------------------------------------------------------------------------------

(2)                                  Check the Appropriate Box if a Member of a Group (See Instructions)

 

                                                (a)  [   ]

                                                (b)  [X]

------------------------------------------------------------------------------

(3)                                  SEC Use Only

------------------------------------------------------------------------------

(4)                                  Citizenship or Place of Organization

 

                                                Delaware

------------------------------------------------------------------------------

Number of Shares                                                                                                 (5)  Sole Voting Power

 Beneficially Owned                                                                                                                                      155,442

 by Each Reporting                                                                                          ------------------------------------------

 Person With                                                                                                                          (6)  Shared Voting Power

                                                                                                                                                       &# 160;                                                                                        0

                                                                                                                                                       &# 160;                                        ------------------------------------------

                                                                                                                                                       &# 160;                                        (7)  Sole Dispositive Power

                                                                                                                                                       &# 160;                                                                                        155,442

                                                                                                                                                       &# 160;                                        ------------------------------------------

                                                                                                                                                       &# 160;                                        (8) Shared Dispositive Power

                                                                                                                                                       &# 160;                                                                                        0

----------------------------------------------------------------------------

(9)                                  Aggregate Amount Beneficially Owned by Each Reporting Person

 

                                                155,442

----------------------------------------------------------------------------

(10)                            Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

                                                [   ]

----------------------------------------------------------------------------

(11)                            Percent of Class Represented by Amount in Row (9)

 

                                                0.3%2

----------------------------------------------------------------------------

(12)                            Type of Reporting Person (See Instructions)

 

                                                PN

----------------------------------------------------------------------------


2 Based on 56,810,994 shares of the Issuer’s Common Stock outstanding as of December 7, 2007, as set forth in the Issuer’s quarterly report on Form 10-Q dated December 13, 2007.

 


 

CUSIP No. 90384S303

13G

Page 4 of 18 Pages

 

------------------------------------------------------------------------------

(1)                                  Names of Reporting Persons.

                                                Oak Associates VII, LLC

                                                06-1490960

------------------------------------------------------------------------------

(2)                                  Check the Appropriate Box if a Member of a Group (See Instructions)

 

                                                (a)  [   ]

                                                (b)  [X]

------------------------------------------------------------------------------

(3)                                  SEC Use Only

------------------------------------------------------------------------------

(4)                                  Citizenship or Place of Organization

 

                                                Delaware

------------------------------------------------------------------------------

Number of Shares                                                                                                 (5)  Sole Voting Power

 Beneficially Owned                                                                                                                                      0

 by Each Reporting                                                                                          ------------------------------------------

 Person With                                                                                                                          (6)  Shared Voting Power

                                                                                                                                                       &# 160;                                                                                        6,189,278

                                                                                                                                                       &# 160;                                        ------------------------------------------

                                                                                                                                                       &# 160;                                        (7)  Sole Dispositive Power

                                                                                                                                                       &# 160;                                                                                        0

                                                                                                                                                       &# 160;                                        ------------------------------------------

                                                                                                                                                       &# 160;                                        (8) Shared Dispositive Power

                                                                                                                                                       &# 160;                                                                                        6,189,278

----------------------------------------------------------------------------

(9)                                  Aggregate Amount Beneficially Owned by Each Reporting Person

 

                                                6,189,278

----------------------------------------------------------------------------

(10)                            Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

                                                [   ]

----------------------------------------------------------------------------

(11)                            Percent of Class Represented by Amount in Row (9)

 

                                                10.9%3

----------------------------------------------------------------------------

(12)                            Type of Reporting Person (See Instructions)

 

                                                OO-LLC

----------------------------------------------------------------------------


3 Based on 56,810,994 shares of the Issuer’s Common Stock outstanding as of December 7, 2007, as set forth in the Issuer’s quarterly report on Form 10-Q dated December 13, 2007.

 


 

CUSIP No. 90384S303

13G

Page 5 of 18 Pages

 

------------------------------------------------------------------------------

(1)                                  Names of Reporting Persons.

                                                Oak VII Affiliates, LLC

                                                06-1490961

------------------------------------------------------------------------------

(2)                                  Check the Appropriate Box if a Member of a Group (See Instructions)

 

                                                (a)  [   ]

                                                (b)  [X]

------------------------------------------------------------------------------

(3)                                  SEC Use Only

------------------------------------------------------------------------------

(4)                                  Citizenship or Place of Organization

 

                                                Delaware

------------------------------------------------------------------------------

Number of Shares                                                                                                 (5)  Sole Voting Power

 Beneficially Owned                                                                                                                                      0

 by Each Reporting                                                                                          ------------------------------------------

 Person With                                                                                                                          (6)  Shared Voting Power

                                                                                                                                                       &# 160;                                                                                        155,442

                                                                                                                                                       &# 160;                                        ------------------------------------------

                                                                                                                                                       &# 160;                                        (7)  Sole Dispositive Power

                                                                                                                                                       &# 160;                                                                                        0

                                                                                                                                                       &# 160;                                        ------------------------------------------

                                                                                                                                                       &# 160;                                        (8) Shared Dispositive Power

                                                                                                                                                       &# 160;                                                                                        155,442

----------------------------------------------------------------------------

(9)                                  Aggregate Amount Beneficially Owned by Each Reporting Person

 

                                                155,442

----------------------------------------------------------------------------

(10)                            Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

                                                [   ]

----------------------------------------------------------------------------

(11)                            Percent of Class Represented by Amount in Row (9)

 

                                                0.3%4

----------------------------------------------------------------------------

 

(12)                            Type of Reporting Person (See Instructions)

 

                                                OO-LLC

----------------------------------------------------------------------------


4 Based on 56,810,994 shares of the Issuer’s Common Stock outstanding as of December 7, 2007, as set forth in the Issuer’s quarterly report on Form 10-Q dated December 13, 2007.

 


 

CUSIP No. 90384S303

13G

Page 6 of 18 Pages

 

------------------------------------------------------------------------------

(1)                                  Names of Reporting Persons.

                                                Oak Management Corporation

                                                06-0990851

------------------------------------------------------------------------------

(2)                                  Check the Appropriate Box if a Member of a Group (See Instructions)

 

                                                (a)  [   ]

                                                (b)  [X]

------------------------------------------------------------------------------

(3)                                  SEC Use Only

------------------------------------------------------------------------------

(4)                                  Citizenship or Place of Organization

 

                                                Delaware

------------------------------------------------------------------------------

Number of Shares                                                                                                 (5)  Sole Voting Power

 Beneficially Owned                                                                                                                                      0

 by Each Reporting                                                                                          ------------------------------------------

 Person With                                                                                                                          (6)  Shared Voting Power

                                                                                                                                                       &# 160;                                                                                        6,344,720

                                                                                                                                                       &# 160;                                        ------------------------------------------

                                                                                                                                                       &# 160;                                        (7)  Sole Dispositive Power

                                                                                                                                                       &# 160;                                                                                        0

                                                                                                                                                       &# 160;                                        ------------------------------------------

                                                                                                                                                       &# 160;                                        (8) Shared Dispositive Power

                                                                                                                                                       &# 160;                                                                                        6,344,720

----------------------------------------------------------------------------

(9)                                  Aggregate Amount Beneficially Owned by Each Reporting Person

 

                                                6,344,720

----------------------------------------------------------------------------

(10)                            Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

                                                [   ]

----------------------------------------------------------------------------

(11)                            Percent of Class Represented by Amount in Row (9)

 

                                                11.2%5

----------------------------------------------------------------------------

(12)                            Type of Reporting Person (See Instructions)

 

                                                CO

----------------------------------------------------------------------------


5 Based on 56,810,994 shares of the Issuer’s Common Stock outstanding as of December 7, 2007, as set forth in the Issuer’s quarterly report on Form 10-Q dated December 13, 2007.

 


 

CUSIP No. 90384S303

13G

Page 7 of 18 Pages

 

------------------------------------------------------------------------------

(1)                                  Names of Reporting Persons.

 

                                                Gerald R. Gallagher

------------------------------------------------------------------------------

(2)                                  Check the Appropriate Box if a Member of a Group (See Instructions)

 

                                                (a)  [   ]

                                                (b)  [X]

------------------------------------------------------------------------------

(3)                                  SEC Use Only

------------------------------------------------------------------------------

(4)                                  Citizenship or Place of Organization

 

                                                United States

------------------------------------------------------------------------------

Number of Shares                                                                                                 (5)  Sole Voting Power

 Beneficially Owned                                                                                                                                      0

 by Each Reporting                                                                                          ------------------------------------------

 Person With                                                                                                                          (6)  Shared Voting Power

                                                                                                                                                       &# 160;                                                                                        6,344,720

                                                                                                                                                       &# 160;                                        ------------------------------------------

                                                                                                                                                       &# 160;                                        (7)  Sole Dispositive Power

                                                                                                                                                       &# 160;                                                                                        0

                                                                                                                                                       &# 160;                                        ------------------------------------------

                                                                                                                                                       &# 160;                                        (8) Shared Dispositive Power

                                                                                                                                                       &# 160;                                                                                        6,344,720

----------------------------------------------------------------------------

(9)                                  Aggregate Amount Beneficially Owned by Each Reporting Person

 

                                                6,344,720

----------------------------------------------------------------------------

(10)                            Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

                                                [   ]

----------------------------------------------------------------------------

(11)                            Percent of Class Represented by Amount in Row (9)

 

                                                11.2%6

----------------------------------------------------------------------------

(12)                            Type of Reporting Person (See Instructions)

 

                                                IN

----------------------------------------------------------------------------


6 Based on 56,810,994 shares of the Issuer’s Common Stock outstanding as of December 7, 2007, as set forth in the Issuer’s quarterly report on Form 10-Q dated December 13, 2007.

 


 

CUSIP No. 90384S303

13G

Page 8 of 18 Pages

 

------------------------------------------------------------------------------

(1)                                  Names of Reporting Persons.

 

                                                Bandel L. Carano

------------------------------------------------------------------------------

(2)                                  Check the Appropriate Box if a Member of a Group (See Instructions)

 

                                                (a)  [   ]

                                                (b)  [X]

------------------------------------------------------------------------------

(3)                                  SEC Use Only

------------------------------------------------------------------------------

(4)                                  Citizenship or Place of Organization

 

                                                United States

------------------------------------------------------------------------------

Number of Shares                                                                                                 (5)  Sole Voting Power

 Beneficially Owned                                                                                                                                      0

 by Each Reporting                                                                                          ------------------------------------------

 Person With                                                                                                                          (6)  Shared Voting Power

                                                                                                                                                       &# 160;                                                                                        6,344,720

                                                                                                                                                       &# 160;                                        ------------------------------------------

                                                                                                                                                       &# 160;                                        (7)  Sole Dispositive Power

                                                                                                                                                       &# 160;                                                                                        0

                                                                                                                                                       &# 160;                                        ------------------------------------------

                                                                                                                                                       &# 160;                                        (8) Shared Dispositive Power

                                                                                                                                                       &# 160;                                                                                        6,344,720

----------------------------------------------------------------------------

(9)                                  Aggregate Amount Beneficially Owned by Each Reporting Person

 

                                                6,344,720

----------------------------------------------------------------------------

(10)                            Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

                                                [   ]

----------------------------------------------------------------------------

(11)                            Percent of Class Represented by Amount in Row (9)

 

                                                11.2%7

----------------------------------------------------------------------------

(12)                            Type of Reporting Person (See Instructions)

 

                                                IN

----------------------------------------------------------------------------


7 Based on 56,810,994 shares of the Issuer’s Common Stock outstanding as of December 7, 2007, as set forth in the Issuer’s quarterly report on Form 10-Q dated December 13, 2007.

 


 

CUSIP No. 90384S303

13G

Page 9 of 18 Pages

 

------------------------------------------------------------------------------

(1)                                  Names of Reporting Persons.

 

                                                Edward F. Glassmeyer

------------------------------------------------------------------------------

(2)                                  Check the Appropriate Box if a Member of a Group (See Instructions)

 

                                                (a)  [   ]

                                                (b)  [X]

------------------------------------------------------------------------------

(3)                                  SEC Use Only

------------------------------------------------------------------------------

(4)                                  Citizenship or Place of Organization

 

                                                United States

------------------------------------------------------------------------------

Number of Shares                                                                                                 (5)  Sole Voting Power

 Beneficially Owned                                                                                                                                      0

 by Each Reporting                                                                                          ------------------------------------------

 Person With                                                                                                                          (6)  Shared Voting Power

                                                                                                                                                       &# 160;                                                                                        6,344,720

                                                                                                                                                       &# 160;                                        ------------------------------------------

                                                                                                                                                       &# 160;                                        (7)  Sole Dispositive Power

                                                                                                                                                       &# 160;                                                                                        0

                                                                                                                                                       &# 160;                                        ------------------------------------------

                                                                                                                                                       &# 160;                                        (8) Shared Dispositive Power

                                                                                                                                                       &# 160;                                                                                        6,344,720

----------------------------------------------------------------------------

(9)                                  Aggregate Amount Beneficially Owned by Each Reporting Person

 

                                                6,344,720

----------------------------------------------------------------------------

(10)                            Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

                                                [   ]

----------------------------------------------------------------------------

(11)                            Percent of Class Represented by Amount in Row (9)

 

                                                11.2%8

----------------------------------------------------------------------------

(12)                            Type of Reporting Person (See Instructions)

 

                                                IN

----------------------------------------------------------------------------


8 Based on 56,810,994  shares of the Issuer’s Common Stock outstanding as of December 7, 2007, as set forth in the Issuer’s quarterly report on Form 10-Q dated December 13, 2007.

 


 

CUSIP No. 90384S303

13G

Page 10 of 18 Pages

 

------------------------------------------------------------------------------

(1)                                  Names of Reporting Persons.

 

                                                Fredric W. Harman

------------------------------------------------------------------------------

(2)                                  Check the Appropriate Box if a Member of a Group (See Instructions)

 

                                                (a)  [   ]

                                                (b)  [X]

------------------------------------------------------------------------------

(3)                                  SEC Use Only

------------------------------------------------------------------------------

(4)                                  Citizenship or Place of Organization

 

                                                United States

------------------------------------------------------------------------------

Number of Shares                                                                                                 (5)  Sole Voting Power

 Beneficially Owned                                                                                                                                      0

 by Each Reporting                                                                                          ------------------------------------------

 Person With                                                                                                                          (6)  Shared Voting Power

                                                                                                                                                       &# 160;                                                                                        6,344,720

                                                                                                                                                       &# 160;                                        ------------------------------------------

                                                                                                                                                        & #160;                                       (7)  Sole Dispositive Power

                                                                                                                                                       &# 160;                                                                                        0

                                                                                                                                                       &# 160;                                        ------------------------------------------

                                                                                                                                                       &# 160;                                        (8) Shared Dispositive Power

                                                                                                                                                       &# 160;                                                                                        6,344,720

----------------------------------------------------------------------------

(9)                                  Aggregate Amount Beneficially Owned by Each Reporting Person

 

                                                6,344,720

----------------------------------------------------------------------------

(10)                            Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

                                                [   ]

----------------------------------------------------------------------------

(11)                            Percent of Class Represented by Amount in Row (9)

 

                                                11.2%9

----------------------------------------------------------------------------

(12)                            Type of Reporting Person (See Instructions)

 

                                                IN

----------------------------------------------------------------------------


9 Based on 56,810,994 shares of the Issuer’s Common Stock outstanding as of December 7, 2007, as set forth in the Issuer’s quarterly report on Form 10-Q dated December 13, 2007.

 


 

CUSIP No. 90384S303

13G

Page 11 of 18 Pages

 

------------------------------------------------------------------------------

(1)                                  Names of Reporting Persons.

 

                                                Ann H. Lamont

------------------------------------------------------------------------------

(2)                                  Check the Appropriate Box if a Member of a Group (See Instructions)

 

                                                (a)  [   ]

                                                (b)  [X]

------------------------------------------------------------------------------

(3)                                  SEC Use Only

------------------------------------------------------------------------------

(4)                                  Citizenship or Place of Organization

 

                                                United States

------------------------------------------------------------------------------

Number of Shares                                                                                                 (5)  Sole Voting Power

 Beneficially Owned                                                                                                                                      0

 by Each Reporting                                                                                          ------------------------------------------

 Person With                                                                                                                          (6)  Shared Voting Power

                                                                                                                                                       &# 160;                                                                                        6,344,720

                                                                                                                                                       &# 160;                                        ------------------------------------------

                                                                                                                                                       &# 160;                                        (7)  Sole Dispositive Power

                                                                                                                                                       &# 160;                                                                                        0

                                                                                                                                                       &# 160;                                        ------------------------------------------

                                                                                                                                                       &# 160;                                        (8) Shared Dispositive Power

                                                                                                                                                       &# 160;                                                                                        6,344,720

----------------------------------------------------------------------------

(9)                                  Aggregate Amount Beneficially Owned by Each Reporting Person

 

                                                6,344,720

----------------------------------------------------------------------------

(10)                            Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

                                                [   ]

----------------------------------------------------------------------------

(11)                            Percent of Class Represented by Amount in Row (9)

 

                                                11.2%10

----------------------------------------------------------------------------

(12)                            Type of Reporting Person (See Instructions)

 

                                                IN

----------------------------------------------------------------------------


10 Based on 56,810,994 shares of the Issuer’s Common Stock outstanding as of December 7, 2007, as set forth in the Issuer’s quarterly report on Form 10-Q dated December 13, 2007.

 


 

CUSIP No. 90384S303

13G

Page 12 of 18 Pages

 

 

Item 1(a).  Name of Issuer:

 

                                                Ulta Salon, Cosmetics & Fragrance, Inc.

 

Item 1(b).  Address of Issuer’s Principal Executive Offices:

 

                                                1000 Remington Blvd, Suite 120

Bolingbrook, IL 60440

 

Item 2(a).  Name of Person Filing:

 

(1)  Oak Investment Partners VII, Limited Partnership

(2)  Oak VII Affiliates Fund, Limited Partnership

(3)  Oak Associates VII, LLC

(4)  Oak VII Affiliates, LLC

(5) Oak Management Corporation

(6)  Gerald R. Gallagher

(7)  Bandel L. Carano

(8)  Edward F. Glassmeyer

(9)  Fredric W. Harman

(10)  Ann H. Lamont

 

Item 2(b).  Address of Principal Business Office or, if none, Residence:

 

                                                c/o Oak Management Corporation

                                                One Gorham Island

                                                Westport, Connecticut 06880

 

Item 2(c).  Citizenship:

 

Oak Investment Partners VII, Limited Partnership, Oak VII Affiliates Fund, Limited Partnership, Oak Associates VII, LLC and Oak VII Affiliates, LLC, Oak Management Corporation:

 

                                                Delaware

 

Gerald R. Gallagher, Bandel L. Carano, Edward F. Glassmeyer, Fredric W. Harman and Ann H. Lamont:

 

                                                United States

 

Item 2(d).  Title of Class of Securities:

 

                                                Common Stock, $.01 par value per share

 


 

CUSIP No. 90384S303

13G

Page 13 of 18 Pages

 

Item 2(e).  CUSIP Number:

 

                                                90384S303

 

Item 3.  If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

                                                Not applicable.

 

Item 4.  Ownership.

 

                                                The information in items 1 and 5 through 11 on the cover pages (pp. 1-11) of this Schedule 13G is hereby incorporated by reference.

 

                                                Oak Associates VII, LLC is the general partner of Oak Investment Partners VII, Limited Partnership and Oak VII Affiliates, LLC is the general partner of Oak VII Affiliates Fund, Limited Partnership.  Oak Management Corporation (“Oak Management”) is the manager of each of Oak Investment Partners VII, Limited Partnership and Oak VII Affiliates Fund, Limited Partnership.  Gerald R. Gallagher, Bandel L. Carano, Edward F. Glassmeyer, Fredric W. Harman and Ann H. Lamont are the managing members of both Oak Associates VII, LLC and Oak VII Affiliates, LLC, and, as such, may be deemed to possess shared beneficial ownership of the shares of common stock held by Oak Investment Partners VII, Limited Partnership and Oak VII Affiliates Fund, Limited Partnership.

 

Amounts shown as beneficially owned by each of Oak Investment Partners VII, Limited Partnership, Oak Associates VII, LLC, Oak Management, Bandel L. Carano, Gerald R. Gallagher, Edward F. Glassmeyer, Fredric W. Harman and Ann H. Lamont include options to purchase 77,065 shares of Common Stock, which may be deemed to be held by Gerald R. Gallagher on behalf of Oak Investment Partners VII, Limited Partnership.

 

Amounts shown as beneficially owned by each of Oak VII Affiliates Fund, Limited Partnership, Oak VII Affiliates, LLC, Oak Management, Bandel L. Carano, Gerald R. Gallagher, Edward F. Glassmeyer, Fredric W. Harman and Ann H. Lamont include options to purchase 1,935 shares of Common Stock, which may be deemed to be held by Gerald R. Gallagher on behalf of Oak VII Affiliates Fund, Limited Partnership.

 

                                                By making this filing, the reporting persons acknowledge that they may be deemed to constitute a “group” within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended, in connection with the securities of the Issuer.  Each reporting person disclaims the existence of a “group” and disclaims beneficial ownership of all shares of common stock of the Issuer or securities convertible into or exercisable for common stock of the Issuer, other than any shares or other securities reported herein as being owned by it, him or her, as the case may be.

 


 

CUSIP No. 90384S303

13G

Page 14 of 18 Pages

 

Item 5.  Ownership of Five Percent or Less of a Class.

 

                                                Not applicable.

 

Item 6.  Ownership of More than Five Percent on Behalf of Another Person.

 

                                                Not applicable.

 

Item 7.  Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.

 

                                                Not applicable.

 

Item 8.  Identification and Classification of Members of the Group.

 

                                                Not applicable.

 

Item 9.  Notice of Dissolution of Group.

 

                                                Not applicable.

 

Item 10.  Certifications.

 

                                                Not applicable.

 


 

SIGNATURE

 

                                                After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

Date:  February 13, 2008

 

Entities

 

Oak Investment Partners VII, Limited Partnership

 

Oak VII Affiliates Fund, Limited Partnership

 

Oak Associates VII, LLC

 

Oak VII Affiliates, LLC

 

Oak Management Corporation

 

By:

 

/s/ Edward F. Glassmeyer

 

 

Edward F. Glassmeyer, as General Partner, Managing Member or Executive Officer (as appropriate), or as Attorney-in-Fact for the above-listed entities

 

Individuals

 

Gerald R. Gallagher

 

Bandel L. Carano

 

Edward F. Glassmeyer

 

Fredric W. Harman

 

Ann H. Lamont

 

By:

 

/s/ Edward F. Glassmeyer

 

 

Edward F. Glassmeyer, Individually and as Attorney-in-Fact for the other above-listed individuals

 


 

INDEX TO EXHIBITS

 

EXHIBIT A

Joint Filing Agreement

 

 

EXHIBIT B

Power of Attorney

 

 



Exhibit 99.(A)

 

CUSIP No. 90384S303                                                              13G                                                                  Page 17 of 18 Pages

 

 

EXHIBIT A

 

Joint Filing Agreement

 

Each of the undersigned hereby agree to file jointly the statement on Schedule 13G to which this Agreement is attached and any amendments thereto which may be deemed necessary, pursuant to Regulation 13D-G under the Securities Exchange Act of 1934, as two or more persons with respect to the same securities (17 C.F.R. §240.13d-1(k)).

 

It is understood and agreed that each of the parties hereto is responsible for the timely filing of such statement and any amendments thereto, and for the completeness and accuracy of the information concerning such party contained therein, but such party is not responsible for the completeness and ac curacy of information concerning any other party unless such party knows or has reason to believe such information is inaccurate.

 

It is understood and agreed that a copy of this Agreement shall be attached as an exhibit to the statement on Schedule 13G, and may be attached to any amendments thereto, filed on behalf of each of the parties hereto with respect to this Issuer.

 

Dated: February 13, 2008

 

Entities:

 

Oak Investment Partners VII, Limited Partnership

Oak Associates VII, LLC

Oak VII Affiliates Fund, Limited Partnership

Oak VII Affiliates, LLC

Oak Management Corporation

 

 

By:

/s/ Edward F. Glassmeyer  

 

Edward F. Glassmeyer, as

 

General Partner or

 

Managing Member or as

 

Attorney-in-fact for the

 

above-listed entities

 

Individuals:

 

Bandel L. Carano

Gerald R. Gallagher

Edward F. Glassmeyer

Fredric W. Harman

Ann H. Lamont

 

 

By:

/s/ Edward F. Glassmeyer  

 

Edward F. Glassmeyer,

 

Individually and as

 

Attorney-in-fact for the other

 

above-listed individuals

 


Exhibit 99.(B)

 

EXHIBIT B

 

Power of Attorney

 

The undersigned hereby make, constitute and appoint each of Edward F. Glassmeyer and Ann H. Lamont, acting jointly or individually, with full power of substitution, the true and lawful attorney-in-fact for the undersigned, in the undersigned’s name, place and stead and on the undersigned’s behalf, to complete, execute and file with the United States Securities and Exchange Commission (the “Commission”), a statement on Schedule 13G and/or 13D with respect to the securities of Ulta Salon, Cosmetics & Fragrance, Inc., a Delaware corporation, and any and all amendments thereto pursuant to Section 13(d) of the Securities Exchange Act of 1934, as amended, and the rules and regulations promulgated thereunder, and any other forms, certificates, documents or instruments (including a Joint Filing Agreement) that the attorneys-in-fact (or either of them) deems necessary or appropriate in order to enable the undersigned to comply with the requirements of said Section 13(d) and said rules and regulations.

 

Dated: February 13, 2008

 

Oak Management Corporation

 Oak Investment Partners VII, Limited Partnership

 

 By: Oak Associates VII, LLC, its general partner

 

 

By:

/s/ Edward F. Glassmeyer

 

 By:

/s/ Edward F. Glassmeyer

 

 

Name: Edward F. Glassmeyer

 

Name:

 

Title: President

 

Title: Managing Member

 

 

Oak Associates VII, LLC

 Oak VII Affiliates Fund, Limited Partnership

 

 

 

 By:  Oak VII Affiliates LLC

By:

/s/ Edward F. Glassmeyer

 

 

 

Name:

 By:

/s/ Edward F. Glassmeyer

 

 

Title: Managing Member

 

Name:

 

 

 

Title: Managing Member

Oak VII Affiliates, LLC

 

 

 

 

 By:

  /s/ Ann H. Lamont

 

By:

/s/ Edward F. Glassmeyer

 

 

Ann H. Lamont

 

Name:

 

 

 

Title: Managing Member

 

 

 

 

 

 

 

 

 

 

 

  /s/ Bandel L. Carano

 

 

  /s/ Gerald R. Gallagher

 

 

Bandel L. Carano

 

 

Gerald R. Gallagher

 

 

 

 

 

 

 

 

 

/s/ Edward F. Glassmeyer

 

 

  /s/ Fredric W. Harman

 

 

Edward F. Glassmeyer

 

 

Fredric W. Harman

 

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