SEC Form 4 · accession 0001225208-16-024657

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

Jan 19, 2016

Accepted (ET)

Jan 21, 2016 · 7:39 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^F1	holding	—	—		—	17,543	D
Common Stock^F2	holding	—	—		—	3	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	$33.38	Jan 19, 2016	A	16,408	A	—	Jan 19, 2026	Common Stock	16,408	16,408	D
Restricted Stock Units^F5,F4,F6,F7	$0.00	Jan 19, 2016	A	1,876	A	—	—	Common Stock	1,876	1,876	D
Restricted Stock Units^F4,F8	$0.00	Jan 19, 2016	A	1,877	A	—	Jan 19, 2019	Common Stock	1,877	1,877	D
Employee Stock Option (Right-to-Buy)^F9	$22.27	holding	—	—	—	—	Jan 20, 2021	Common Stock	15,822	15,822	D
Employee Stock Option (Right-to-Buy)^F10	$41.00	holding	—	—	—	—	Jan 22, 2025	Common Stock	12,534	12,534	D
Employee Stock Option (Right-to-Buy)^F11	$48.92	holding	—	—	—	—	Jan 23, 2024	Common Stock	10,527	10,527	D
Employee Stock Option (Right-to-Buy)^F12	$39.64	holding	—	—	—	—	Jan 24, 2023	Common Stock	11,788	11,788	D
Employee Stock Option (Right-to-Buy)^F9	$28.40	holding	—	—	—	—	Jan 26, 2022	Common Stock	15,576	15,576	D
Employee Stock Option (Right-to-Buy)^F9	$20.57	holding	—	—	—	—	Dec 3, 2019	Common Stock	17,505	17,505	D
Employee Stock Option (Right-to-Buy)^F11	$14.15	holding	—	—	—	—	Dec 4, 2018	Common Stock	16,822	16,822	D
Employee Stock Option (Right-to-Buy)^F9	$26.65	holding	—	—	—	—	Dec 6, 2017	Common Stock	14,200	14,200	D
Restricted Stock Units^F4,F13	$0.00	holding	—	—	—	—	Jan 22, 2018	Common Stock	3,241	3,241	D
Restricted Stock Units^F15,F4,F14	$0.00	holding	—	—	—	—	Jan 23, 2017	Common Stock	2,124	2,124	D
Restricted Stock Units^{F19,F16,F17,F18}	$0.00	holding	—	—	—	—	Jan 24, 2016	Common Stock	1,580	1,580	D

Explanation of responses

F1Amended 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.
F10H.B. Fuller Company 2013 Master Incentive Plan: This option vests in three equal annual installments beginning on January 22, 2016.
F11H.B. Fuller Company 2013 Master Incentive Plan: This option vests in three equal annual installments beginning on January 23, 2015.
F12Amended and Restated Year 2000 Stock Incentive Plan: This option vests in three equal annual installments beginning on January 24, 2014.
F13H.B. Fuller Company 2013 Master Incentive Plan: These restricted stock units vest in three equal annual installments beginning on January 22, 2016.
F14H.B. Fuller Company 2013 Master Incentive Plan: These restricted stock units vest in three equal annual installments beginning on January 23, 2015.
F15H.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.
F16Amended and Restated Year 2000 Stock Incentive Plan: These restricted stock units convert into shares of common stock on a 1-for-1 basis.
F17H.B. Fuller Company 2013 Master Incentive Plan: These restricted stock units vest in three equal annual installments beginning on January 24, 2014.
F18Amended and Restated Year 2000 Stock Incentive Plan: These restricted stock units are 100% vested.
F19Amended 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.
F3H.B. Fuller Company 2013 Master Incentive Plan: This option vests in three equal installments beginning on January 19, 2017. This option makes up part of the reporting person's fiscal year 2016 long-term incentive plan grant.
F4H.B. Fuller Company 2013 Master Incentive Plan: These restricted stock units convert into shares of common stock on a 1-for-1 basis.
F5H.B. Fuller Company 2013 Master Incentive Plan: Each restricted stock unit represents a contingent right to receive one share of H.B. Fuller common stock. Prior to vesting, the number of units subject to the award will be adjusted based on the company's return on invested capital performance for the applicable year. The number of units may increase to as much as 200% or decrease as low as 0% of the initial number of units depending on the level of ROIC performance. The grant amount is shown at a target level of performance.
F6H.B. Fuller Company 2013 Master Incentive Plan: These restricted stock units vest in three annual installments beginning on January 19, 2017 upon H.B. Fuller achieving return on invested capital at least at the threshold level of performance in each year of the three years of vesting. These restricted stock units make up part of the reporting person's fiscal year 2016 long-term incentive plan grant.
F7These restricted stock units expire on January 19, 2019.
F8H.B. Fuller Company 2013 Master Incentive Plan: These restricted stock units vest in three equal annual installments beginning on January 19, 2017. These restricted stock units make up part of the reporting person's fiscal year 2016 long-term incentive plan grant.
F9Amended and Restated Year 2000 Stock Incentive Plan: This option is 100% vested.