SEC Form 4 · accession 0001225208-16-024794
FULLER H B CO · FUL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert J Martsching
Officer — VP, Corporate Controller
Period of report
Jan 22, 2016
Accepted (ET)
Jan 26, 2016 · 8:01 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 22, 2016 | M | 621 | $34.72 | A | 9,533 | D | |
| Common StockF1 | Jan 22, 2016 | F | 242 | $34.72 | D | 9,291 | D | |
| Common Stock | Jan 23, 2016 | M | 529 | $34.72 | A | 9,820 | D | |
| Common StockF2 | Jan 23, 2016 | F | 207 | $34.72 | D | 9,613 | D | |
| Common StockF3,F4 | Jan 24, 2016 | F | 147 | $34.72 | D | 9,466 | D | |
| Common StockF5 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF8,F6,F7 | $0.00 | Jan 22, 2016 | M | 621 | D | — | Jan 22, 2018 | Common Stock | 621 | 1,264 | D |
| Restricted Stock UnitsF8,F6,F9 | $0.00 | Jan 23, 2016 | M | 529 | D | — | Jan 23, 2017 | Common Stock | 529 | 545 | D |
| Employee Stock Option (Right-to-Buy)F10 | $33.38 | holding | — | — | — | — | Jan 19, 2026 | Common Stock | 9,546 | 9,546 | D |
| Employee Stock Option (Right-to-Buy)F11 | $22.27 | holding | — | — | — | — | Jan 20, 2021 | Common Stock | 4,315 | 4,315 | D |
| Employee Stock Option (Right-to-Buy)F12 | $41.00 | holding | — | — | — | — | Jan 22, 2025 | Common Stock | 7,292 | 7,292 | D |
| Employee Stock Option (Right-to-Buy)F13 | $48.92 | holding | — | — | — | — | Jan 23, 2024 | Common Stock | 5,326 | 5,326 | D |
| Employee Stock Option (Right-to-Buy)F11 | $39.64 | holding | — | — | — | — | Jan 24, 2023 | Common Stock | 2,806 | 2,806 | D |
| Employee Stock Option (Right-to-Buy)F11 | $28.40 | holding | — | — | — | — | Jan 26, 2022 | Common Stock | 3,504 | 3,504 | D |
| Employee Stock Option (Right-to-Buy)F14 | $38.31 | holding | — | — | — | — | Apr 10, 2023 | Common Stock | 658 | 658 | D |
| Employee Stock Option (Right-to-Buy)F11 | $20.57 | holding | — | — | — | — | Dec 3, 2019 | Common Stock | 4,340 | 4,340 | D |
| Employee Stock Option (Right-to-Buy)F11 | $14.15 | holding | — | — | — | — | Dec 4, 2018 | Common Stock | 4,211 | 4,211 | D |
| Phantom UnitsF17,F15,F16 | $0.00 | holding | — | — | — | — | — | Common Stock | 2,952 | 2,952 | D |
| Restricted Stock UnitsF6,F18,F19 | $0.00 | holding | — | — | — | — | — | Common Stock | 1,092 | 1,092 | D |
| Restricted Stock UnitsF6,F20 | $0.00 | holding | — | — | — | — | Jan 19, 2019 | Common Stock | 1,092 | 1,092 | D |
Explanation of responses
- F1Shares withheld for taxes due on 621 shares issued pursuant to the H.B. Fuller Company 2013 Master Stock Incentive Plan.
- F10H.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.
- F11Amended and Restated Year 2000 Stock Incentive Plan: This option is 100% vested.
- F12H.B. Fuller Company 2013 Master Incentive Plan: This option vests in three equal annual installments beginning on January 22, 2016.
- F13H.B. Fuller Company 2013 Master Incentive Plan: This option vests in three equal annual installments beginning on January 23, 2015.
- F14Amended and Restated Year 2000 Stock Incentive Plan: This option vests on April 10, 2016.
- F15Key Employee Deferred Compensation Plan: These units (acquired after 12-31-04) convert into shares of common stock on a 1-for-1 basis.
- F16Key Employee Deferred 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 DeferredCompensation Plan or such earlier date as selected by the participant, subject to holding periods required by law.
- F17Key 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 Employee Deferred Compensation Plan.
- F18H.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.
- F19These restricted stock units expire on January 19, 2019.
- F2Shares withheld for taxes due on 529 shares issued pursuant to the H.B. Fuller Company 2013 Master Stock Incentive Plan.
- F20H.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.
- F3Shares withheld for taxes due on 376 shares issued pursuant to the Amended and Restated Year 2000 Stock Incentive Plan.
- F4Amended and Restated Year 2000 Stock Incentive Plan: 2,738 restricted shares were awarded pursuant to H.B. Fuller Company's Amended and Restated Year 2000 Stock Incentive Plan. This amount includes 1,416 restricted shares that vested in three equal annual installments beginning on January 26, 2013; 1,071 restricted shares that vested in three equal annual installments beginning on January 24,2014 and 251 restricted shares that will vest in full on April 10, 2016. Total amount also includes restricted shares acquired pursuant to a dividend accrual feature of the Amended and Restated Year 2000 Stock Incentive Plan.
- F5401(k) Plan: This amount includes shares and dividends acquired pursuant to the H.B.Fuller Company 401(k) & Retirement Plan.
- F6H.B. Fuller Company 2013 Master Incentive Plan: These restricted stock units convert into shares of common stock on a 1-for-1 basis.
- F7H.B. Fuller Company 2013 Master Incentive Plan: These restricted stock units vest in three equal annual installments beginning on January 22, 2016.
- F8H.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.
- F9H.B. Fuller Company 2013 Master Incentive Plan: These restricted stock units vest in three equal annual installments beginning on January 23, 2015.