SEC Form 4 · accession 0001225208-15-003279
FULLER H B CO · FUL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy J Keenan
Officer — VP, Gen. Counsel & Corp. Sec.
Period of report
Feb 6, 2015
Accepted (ET)
Feb 9, 2015 · 8:46 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 StockF1 | Feb 6, 2015 | S | 2,065 | $43.843 | D | 25,720 | D | |
| Common StockF2 | holding | — | — | — | 5 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right-to-Buy)F3 | $22.27 | holding | — | — | — | — | Jan 20, 2021 | Common Stock | 15,822 | 15,822 | D |
| Employee Stock Option (Right-to-Buy)F4 | $41.00 | holding | — | — | — | — | Jan 22, 2025 | Common Stock | 12,534 | 12,534 | D |
| Employee Stock Option (Right-to-Buy)F5 | $48.92 | holding | — | — | — | — | Jan 23, 2024 | Common Stock | 9,154 | 9,154 | D |
| Employee Stock Option (Right-to-Buy)F6 | $39.64 | holding | — | — | — | — | Jan 24, 2023 | Common Stock | 10,291 | 10,291 | D |
| Employee Stock Option (Right-to-Buy)F3 | $28.40 | holding | — | — | — | — | Jan 26, 2022 | Common Stock | 14,278 | 14,278 | D |
| Employee Stock Option (Right-to-Buy)F3 | $20.57 | holding | — | — | — | — | Dec 3, 2019 | Common Stock | 17,505 | 17,505 | D |
| Employee Stock Option (Right-to-Buy)F3 | $26.79 | holding | — | — | — | — | Dec 4, 2016 | Common Stock | 16,077 | 16,077 | D |
| Employee Stock Option (Right-to-Buy)F3 | $14.15 | holding | — | — | — | — | Dec 4, 2018 | Common Stock | 28,037 | 28,037 | D |
| Employee Stock Option (Right-to-Buy)F3 | $26.65 | holding | — | — | — | — | Dec 6, 2017 | Common Stock | 14,200 | 14,200 | D |
| Phantom UnitsF9,F7,F8 | $0.00 | holding | — | — | — | — | — | Common Stock | 2,497 | 2,497 | D |
| Restricted Stock UnitsF10,F11 | $0.00 | holding | — | — | — | — | Jan 22, 2018 | Common Stock | 3,201 | 3,201 | D |
| Restricted Stock UnitsF13,F10,F12 | $0.00 | holding | — | — | — | — | Jan 23, 2017 | Common Stock | 1,824 | 1,824 | D |
| Restricted Stock UnitsF16,F14,F15 | $0.00 | holding | — | — | — | — | Jan 24, 2016 | Common Stock | 1,364 | 1,364 | D |
Explanation of responses
- F1The price reported is the weighted average sale price for the transaction reported. The prices received ranged from $43.841 to $43.855. The reporting person will provide to the issuer, a security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each price within the range.
- F10H.B. Fuller Company 2013 Master Incentive Plan: These restricted stock units convert into shares of common stock on a 1-for-1 basis.
- F11H.B. Fuller Company 2013 Master Incentive Plan: These restricted stock units vest in three equal annual installments beginning on January 22, 2016.
- F12H.B. Fuller Company 2013 Master Incentive Plan: These restricted stock units vest in three equal annual installments beginning on January 23, 2015.
- F13H.B. Fuller Company 2013 Master Incentive Plan: These restricted units include stock units acquired pursuant to a dividend equivalent reinvestment feature of H.B. Fuller Company 2013 Master Incentive Plan.
- F14Amended and Restated Year 2000 Stock Incentive Plan: These restricted stock units convert into shares of common stock on a 1-for-1 basis.
- F15Amended and Restated Year 2000 Stock Incentive Plan: These restricted stock units vest in three equal annual installments beginning on January 24, 2014.
- F16Amended and Restated Year 2000 Stock Incentive Plan: These restricted units include stock units acquired pursuant to a dividend equivalent reinvestment feature of H.B. Fuller Company's Amended and Restated Year 2000 Stock Incentive Plan.
- F2401(k) Plan: This amount includes shares and dividends acquired pursuant to the H.B.Fuller Company 401(k) & Retirement Plan.
- F3Amended and Restated Year 2000 Stock Incentive Plan: This option is 100% vested.
- F4H.B. Fuller Company 2013 Master Incentive Plan: This option vests in three equal annual installments beginning on January 22, 2016.
- F52013 Master Incentive Plan: This option vests in three equal annual installments beginning on January 23, 2015.
- F6Amended and Restated Year 2000 Stock Incentive Plan: This option vests in three equal annual installments beginning on January 24, 2014.
- F7Deferred Compensation Plan: These units (acquired after 12-31-04) convert into shares of common stock on a 1-for-1 basis.
- F8Deferred Compensation Plan: These units (acquired after 12-31-04) convert into shares of common stock upon the earlier of certain termination events as specified in the Key Employee Deferred Compensation Plan or such earlier date as selected by the participant, subject to holding periods required by law.
- F9Key Employee Deferred Compensation Plan Dividend Reinvestment: This amount (acquired after 12-31-04) includes stock units acquired pursuant to a dividend equivalent feature of the Key Employees' Deferred Compensation Plan.