SEC Form 4 · accession 0001225208-15-016587

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

Aug 5, 2015

Accepted (ET)

Aug 7, 2015 · 2:59 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^F1	May 6, 2015	G	150	$0.00	D	62,587	D
Common Stock^F2	Aug 5, 2015	M	31,828	$20.57	A	94,424	D
Common Stock^F2	Aug 5, 2015	M	23,971	$20.93	A	118,395	D
Common Stock^F3,F2	Aug 5, 2015	F	39,883	$40.16	D	78,512	D
Common Stock^F4	holding	—	—		—	1,153	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)^F5	$20.93	Aug 5, 2015	M	23,971	D	—	Apr 2, 2018	Common Stock	23,971	0	D
Employee Stock Option (Right-to-Buy)^F5	$20.57	Aug 5, 2015	M	31,828	D	—	Dec 3, 2019	Common Stock	31,828	0	D
Employee Stock Option (Right-to-Buy)^F5	$22.27	holding	—	—	—	—	Jan 20, 2021	Common Stock	28,768	28,768	D
Employee Stock Option (Right-to-Buy)^F6	$41.00	holding	—	—	—	—	Jan 22, 2025	Common Stock	28,486	28,486	D
Employee Stock Option (Right-to-Buy)^F7	$48.92	holding	—	—	—	—	Jan 23, 2024	Common Stock	22,886	22,886	D
Employee Stock Option (Right-to-Buy)^F8	$39.64	holding	—	—	—	—	Jan 24, 2023	Common Stock	22,455	22,455	D
Employee Stock Option (Right-to-Buy)^F5	$28.40	holding	—	—	—	—	Jan 26, 2022	Common Stock	28,556	28,556	D
Employee Stock Option (Right-to-Buy)^F5	$14.15	holding	—	—	—	—	Dec 4, 2018	Common Stock	47,663	47,663	D
Restricted Stock Units^F9,F10	$0.00	holding	—	—	—	—	Jan 22, 2018	Common Stock	7,317	7,317	D
Restricted Stock Units^F9,F11	$0.00	holding	—	—	—	—	Jan 23, 2017	Common Stock	4,588	4,588	D

Explanation of responses

F1Shares gifted by reportable person to Concordia University on May 6, 2015.
F10H.B. Fuller Company 2013 Master Incentive Plan: These restricted stock units vest in three equal annual installments beginning on January 22, 2016.
F11H.B. Fuller Company 2013 Master Incentive Plan: These restricted stock units vest in three equal annual installments beginning on January 23, 2015.
F2Amended 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 vested 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.
F3Shares delivered by shareholder to pay for tax withholding obligation and exercise price.
F4401(k) Plan: This amount includes shares and dividends acquired pursuant to the H.B.Fuller Company 401(k) & Retirement Plan.
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.
F7H.B. Fuller Company 2013 Master Incentive Plan: This option vests in three equal annual installments beginning on January 23, 2015.
F8Amended and Restated Year 2000 Stock Incentive Plan: This option vests in three equal annual installments beginning on January 24, 2014.
F9H.B. Fuller Company 2013 Master Incentive Plan: These restricted stock units convert into shares of common stock on a 1-for-1 basis.