SEC Form 4 · accession 0001225208-17-014388
FULLER H B CO · FUL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Zhiwei Cai
Officer — Sr. VP, Engineering Adhesives
Period of report
Aug 25, 2017
Accepted (ET)
Aug 28, 2017 · 12:47 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 | holding | — | — | — | 2,785 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom UnitsF3,F1,F2 | $0.00 | Aug 25, 2017 | A | 5 | A | — | — | Common Stock | 5 | 651 | D |
| Employee Stock Option (Right-to-Buy)F4 | $33.38 | holding | — | — | — | — | Jan 19, 2026 | Common Stock | 9,546 | 9,546 | D |
| Employee Stock Option (Right-to-Buy)F5 | $36.00 | holding | — | — | — | — | Feb 12, 2026 | Common Stock | 6,649 | 6,649 | D |
| Employee Stock Option (Right-to-Buy)F6 | $39.33 | holding | — | — | — | — | Oct 1, 2024 | Common Stock | 1,669 | 1,669 | D |
| Employee Stock Option (Right-to-Buy)F7 | $39.64 | holding | — | — | — | — | Jan 24, 2023 | Common Stock | 2,806 | 2,806 | D |
| Employee Stock Option (Right-to-Buy)F8 | $41.00 | holding | — | — | — | — | Jan 22, 2025 | Common Stock | 7,292 | 7,292 | D |
| Employee Stock Option (Right-to-Buy)F9 | $41.80 | holding | — | — | — | — | Feb 2, 2025 | Common Stock | 27,726 | 27,726 | D |
| Employee Stock Option (Right-to-Buy)F7 | $48.92 | holding | — | — | — | — | Jan 23, 2024 | Common Stock | 2,746 | 2,746 | D |
| Employee Stock Option (Right-to-Buy)F10 | $50.10 | holding | — | — | — | Jan 26, 2018 | Jan 26, 2027 | Common Stock | 13,033 | 13,033 | D |
| Performance Stock UnitsF13,F11,F12 | $0.00 | holding | — | — | — | Jan 19, 2017 | Jan 19, 2019 | Common Stock | 746 | 746 | D |
| Performance Stock UnitsF14,F11,F12 | $0.00 | holding | — | — | — | Jan 26, 2018 | Jan 26, 2020 | Common Stock | 1,405 | 1,405 | D |
| Performance Stock UnitsF14,F11,F12 | $0.00 | holding | — | — | — | Feb 12, 2017 | Feb 12, 2019 | Common Stock | 518 | 518 | D |
| Restricted Stock UnitsF17,F15,F16 | $0.00 | holding | — | — | — | — | Jan 19, 2019 | Common Stock | 746 | 746 | D |
| Restricted Stock UnitsF17,F15,F18 | $0.00 | holding | — | — | — | — | Jan 22, 2018 | Common Stock | 661 | 661 | D |
| Restricted Stock UnitsF17,F15,F19 | $0.00 | holding | — | — | — | — | Feb 12, 2019 | Common Stock | 519 | 519 | D |
| Restricted Stock UnitsF17,F15,F20 | $0.00 | holding | — | — | — | — | Feb 12, 2020 | Common Stock | 20,109 | 20,109 | D |
| Restricted Stock UnitsF17,F15,F21 | $0.00 | holding | — | — | — | — | Oct 1, 2017 | Common Stock | 174 | 174 | D |
| Restricted Stock UnitsF17,F15,F22 | $0.00 | holding | — | — | — | Jan 26, 2018 | Jan 26, 2020 | Common Stock | 3,569 | 3,569 | D |
Explanation of responses
- F1These units (acquired after 12-31-04) convert into shares of common stock on a 1-for-1 basis.
- F10This option vests in three equal installments beginning on the date shown.
- F11These performance stock units convert into shares of common stock on a 1-for-1 basis.
- F12These performance stock units vest in three annual installments beginning on the date shown 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.
- F13This amount has been adjusted to reflect the increase in number of performance stock units of the original grant based on performance criteria. Amount also includes performance stock units acquired pursuant to a dividend equivalent reinvestment feature.
- F14Amount includes performance stock units acquired pursuant to a dividend equivalent reinvestment feature.
- F15These restricted stock units convert into shares of common stock on a 1-for-1 basis.
- F16These restricted stock units vest in three equal annual installments beginning on January 19, 2017.
- F17Amount includes restricted stock units acquired pursuant to a dividend equivalent reinvestment feature.
- F18These restricted stock units vest in three equal annual installments beginning on January 22, 2016.
- F19These restricted stock units vest in three equal annual installments beginning on February 12, 2017.
- F2These 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.
- F20These restricted stock units vest in three annual installments beginning on February 12, 2018.
- F21These restricted stock units vest in three equal annual installments beginning on October 1, 2015.
- F22These restricted stock units vest in three equal annual installments beginning on the date shown.
- F3Amount includes stock units acquired pursuant to a dividend equivalent feature.
- F4This option vests in three equal installments beginning on January 19, 2017.
- F5This option vests in three equal installments beginning on February 12, 2017.
- F6This option vests in three equal annual installments beginning on October 1, 2015.
- F7This option is 100% vested.
- F8This option vests in three equal annual installments beginning on January 22, 2016.
- F9This option vests in two equal annual installments beginning on February 2, 2018 upon the achievement of certain gross margin targets being met.