SEC Form 4 · accession 0001225208-15-002103
FULLER H B CO · FUL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James R Giertz
Officer — Executive VP and CFO
Period of report
Jan 23, 2015
Accepted (ET)
Jan 27, 2015 · 9:12 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000039368
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 23, 2015 | M | 2,244 | $40.66 | A | 66,114 | D | |
| Common StockF1 | Jan 23, 2015 | F | 874 | $40.66 | D | 65,240 | D | |
| Common StockF2,F3 | Jan 24, 2015 | F | 1,148 | $40.66 | D | 64,092 | D | |
| Common StockF4 | holding | — | — | — | 1,147 | I | By 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF5,F6 | $0.00 | Jan 23, 2015 | M | 2,244 | D | — | Jan 23, 2017 | Common Stock | 2,244 | 4,562 | D |
| Employee Stock Option (Right-to-Buy)F7 | $22.27 | holding | — | — | — | — | Jan 20, 2021 | Common Stock | 28,768 | 28,768 | D |
| Employee Stock Option (Right-to-Buy)F8 | $41.00 | holding | — | — | — | — | Jan 22, 2025 | Common Stock | 28,486 | 28,486 | D |
| Employee Stock Option (Right-to-Buy)F9 | $48.92 | holding | — | — | — | — | Jan 23, 2024 | Common Stock | 22,886 | 22,886 | D |
| Employee Stock Option (Right-to-Buy)F10 | $39.64 | holding | — | — | — | — | Jan 24, 2023 | Common Stock | 22,455 | 22,455 | D |
| Employee Stock Option (Right-to-Buy)F11 | $28.40 | holding | — | — | — | — | Jan 26, 2022 | Common Stock | 28,556 | 28,556 | D |
| Employee Stock Option (Right-to-Buy)F7 | $20.93 | holding | — | — | — | — | Apr 2, 2018 | Common Stock | 23,971 | 23,971 | D |
| Employee Stock Option (Right-to-Buy)F7 | $20.57 | holding | — | — | — | — | Dec 3, 2019 | Common Stock | 31,828 | 31,828 | D |
| Employee Stock Option (Right-to-Buy)F7 | $14.15 | holding | — | — | — | — | Dec 4, 2018 | Common Stock | 47,663 | 47,663 | D |
| Restricted Stock UnitsF5,F12 | $0.00 | holding | — | — | — | — | Jan 22, 2018 | Common Stock | 7,275 | 7,275 | D |
Explanation of responses
- F1Shares withheld for taxes due on 2,244 shares issues pursuant to the H.B. Fuller Company 2013 Master Stock Incentive Plan.
- F10Amended and Restated Year 2000 Stock Incentive Plan: This option vests in three equal annual installments beginning on January 24, 2014.
- F11Amended and Restated Year 2000 Stock Incentive Plan: This option vests in three equal annual installments beginning on January 26, 2013.
- F12H.B. Fuller Company 2013 Master Incentive Plan: These restricted stock units vest in three equal annual installments beginning on January 22, 2016.
- F2Shares withheld for taxes due on 2,882 shares issues pursuant to the Amended and Restated Year 2000 Stock Incentive Plan.
- F3Amended and Restated Year 2000 Stock Incentive Plan: 62,168 restricted shares were awarded pursuant to H.B. Fuller Company's Amended and Restated Year 2000 Stock Incentive Plan. This amount includes 6,002 restricted shares that vested effective April 2, 2011; 10,974 restricted shares that vested effective December 4, 2011; 13,202 restricted shares that vested in three equal annual installments beginning on December 3, 2010; 11,882 restricted shares that vested in three equal annual installments beginning on January 20, 2012; 11,540 restricted shares that will vest in three equal annual installments beginning on January 26, 2013; and 8,568 shares that will vest in three equal annual installments beginning on January 24, 2014. Total amount also includes restricted shares acquired pursuant to a dividend accrual feature of the Amended and Restated Year 2000 Stock Incentive Plan.
- F4401(k) Plan: This amount includes shares and dividends acquired pursuant to the H.B.Fuller Company 401(k) & Retirement Plan.
- F5H.B. Fuller Company 2013 Master Incentive Plan: These restricted stock units convert into shares of common stock on a 1-for-1 basis.
- F6H.B. Fuller Company 2013 Master Incentive Plan: These restricted stock units vest in three equal annual installments beginning on January 23, 2015.
- F7Amended and Restated Year 2000 Stock Incentive Plan: This option is 100% vested.
- F8H.B. Fuller Company 2013 Master Incentive Plan: This option vests in three equal annual installments beginning on January 22, 2016.
- F9H.B. Fuller Company 2013 Master Incentive Plan: This option vests in three equal annual installments beginning on January 23, 2015.