SEC Form 4 · accession 0001225208-17-015845
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
Oct 1, 2017
Accepted (ET)
Oct 3, 2017 · 6:52 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 | Oct 1, 2017 | M | 173 | $58.06 | A | 2,958 | D | |
| Common StockF1 | Oct 1, 2017 | F | 66 | $58.06 | D | 2,892 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | $0.00 | Oct 1, 2017 | M | 173 | D | — | Oct 1, 2017 | Common Stock | 173 | 0 | 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 | 748 | 748 | D |
| Performance Stock UnitsF14,F11,F12 | $0.00 | holding | — | — | — | Jan 26, 2018 | Jan 26, 2020 | Common Stock | 1,409 | 1,409 | D |
| Performance Stock UnitsF14,F11,F12 | $0.00 | holding | — | — | — | Feb 12, 2017 | Feb 12, 2019 | Common Stock | 520 | 520 | D |
| Phantom UnitsF17,F15,F16 | $0.00 | holding | — | — | — | — | — | Common Stock | 662 | 662 | D |
| Restricted Stock UnitsF19,F2,F18 | $0.00 | holding | — | — | — | — | Jan 19, 2019 | Common Stock | 748 | 748 | D |
| Restricted Stock UnitsF19,F2,F20 | $0.00 | holding | — | — | — | — | Jan 22, 2018 | Common Stock | 663 | 663 | D |
| Restricted Stock UnitsF19,F2,F21 | $0.00 | holding | — | — | — | — | Feb 12, 2019 | Common Stock | 520 | 520 | D |
| Restricted Stock UnitsF19,F2,F22 | $0.00 | holding | — | — | — | — | Feb 12, 2020 | Common Stock | 20,169 | 20,169 | D |
| Restricted Stock UnitsF19,F2,F23 | $0.00 | holding | — | — | — | Jan 26, 2018 | Jan 26, 2020 | Common Stock | 3,580 | 3,580 | D |
Explanation of responses
- F1Shares withheld for taxes due on 173 shares issued.
- 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 units (acquired after 12-31-04) convert into shares of common stock on a 1-for-1 basis.
- F16These 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.
- F17Amount includes stock units acquired pursuant to a dividend equivalent feature.
- F18These restricted stock units vest in three equal annual installments beginning on January 19, 2017.
- F19Amount includes restricted stock units acquired pursuant to a dividend equivalent reinvestment feature.
- F2These restricted stock units convert into shares of common stock on a 1-for-1 basis.
- F20These restricted stock units vest in three equal annual installments beginning on January 22, 2016.
- F21These restricted stock units vest in three equal annual installments beginning on February 12, 2017.
- F22These restricted stock units vest in three annual installments beginning on February 12, 2018.
- F23These restricted stock units vest in three equal annual installments beginning on the date shown.
- F3These restricted stock units vest in three equal annual installments beginning on October 1, 2015.
- 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.