SEC Form 4 · accession 0001225208-15-010346
FULLER H B CO · FUL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ann B Parriott
Officer — VP, Human Resources
Period of report
Apr 22, 2015
Accepted (ET)
Apr 24, 2015 · 12:14 pm EDT
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 | Apr 22, 2015 | M | 16,822 | $14.15 | A | 40,365 | D | |
| Common StockF1,F2 | Apr 22, 2015 | S | 16,822 | $41.9687 | D | 23,543 | D | |
| Common StockF3 | holding | — | — | — | 1,083 | 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)F4 | $14.15 | Apr 22, 2015 | M | 16,822 | D | — | Dec 4, 2018 | Common Stock | 16,822 | 16,822 | D |
| Employee Stock Option (Right-to-Buy)F5 | $22.27 | holding | — | — | — | — | Jan 20, 2021 | Common Stock | 15,822 | 15,822 | D |
| Employee Stock Option (Right-to-Buy)F6 | $41.00 | holding | — | — | — | — | Jan 22, 2025 | Common Stock | 12,534 | 12,534 | D |
| Employee Stock Option (Right-to-Buy)F4 | $48.92 | holding | — | — | — | — | Jan 23, 2024 | Common Stock | 10,527 | 10,527 | D |
| Employee Stock Option (Right-to-Buy)F7 | $39.64 | holding | — | — | — | — | Jan 24, 2023 | Common Stock | 11,788 | 11,788 | D |
| Employee Stock Option (Right-to-Buy)F5 | $28.40 | holding | — | — | — | — | Jan 26, 2022 | Common Stock | 15,576 | 15,576 | D |
| Employee Stock Option (Right-to-Buy)F5 | $20.57 | holding | — | — | — | — | Dec 3, 2019 | Common Stock | 17,505 | 17,505 | D |
| Employee Stock Option (Right-to-Buy)F5 | $26.65 | holding | — | — | — | — | Dec 6, 2017 | Common Stock | 14,200 | 14,200 | D |
| Restricted Stock UnitsF10,F8,F9 | $0.00 | holding | — | — | — | — | Jan 22, 2018 | Common Stock | 3,210 | 3,210 | D |
| Restricted Stock UnitsF10,F8,F11 | $0.00 | holding | — | — | — | — | Jan 23, 2017 | Common Stock | 2,104 | 2,104 | D |
| Restricted Stock UnitsF14,F12,F13 | $0.00 | holding | — | — | — | — | Jan 24, 2016 | Common Stock | 1,565 | 1,565 | D |
Explanation of responses
- F1The price reported is the weighted average sale price for the transaction reported. The prices received ranged from $41.92 to $42.03. 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 units include stock units acquired pursuant to a dividend equivalent reinvestment feature of the H.B. Fuller Company 2013 Master Incentive Plan.
- F11H.B. Fuller Company 2013 Master Incentive Plan: These restricted stock units vest in three equal annual installments beginning on January 23, 2015.
- F12Amended and Restated Year 2000 Stock Incentive Plan: These restricted stock units convert into shares of common stock on a 1-for-1 basis.
- F13Amended and Restated Year 2000 Stock Incentive Plan: These restricted stock units are 100% vested.
- F14Amended 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.
- F2Amended and Restated Year 2000 Stock Incentive Plan: 35,558 restricted shares were awarded pursuant to H.B. Fuller Company's Amended and Restated Year 2000 Stock Incentive Plan and are 100% vested. Total amount also includes restricted shares acquired pursuant to a dividend accrual feature of the Amended and Restated Year 2000 Stock Incentive Plan.
- F3401(k) Plan: This amount includes shares and dividends acquired pursuant to the H.B.Fuller Company 401(k) & Retirement Plan.
- F4H.B. Fuller Company 2013 Master Incentive Plan: This option vests in three equal annual installments beginning on January 23, 2015.
- F5Amended and Restated Year 2000 Stock Incentive Plan: This option is 100% vested.
- F6H.B. Fuller Company 2013 Master Incentive Plan: This option vests in three equal annual installments beginning on January 22, 2016.
- F7Amended and Restated Year 2000 Stock Incentive Plan: This option vests in three equal annual installments beginning on January 24, 2014.
- F8H.B. Fuller Company 2013 Master Incentive Plan: These restricted stock units convert into shares of common stock on a 1-for-1 basis.
- F9H.B. Fuller Company 2013 Master Incentive Plan: These restricted stock units vest in three equal annual installments beginning on January 22, 2016.