SEC Form 4 · accession 0001225208-19-000011
FULLER H B CO · FUL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David W. Moorman
Officer — VP, Operations Excellence
Period of report
Dec 28, 2018
Accepted (ET)
Jan 2, 2019 · 11:50 am 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 | holding | — | — | — | 1,273 | D | ||
| Common StockF1 | holding | — | — | — | 1,248 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom UnitsF4,F2,F3 | $0.00 | Dec 28, 2018 | A | 14 | A | — | — | Common Stock | 14 | 309 | D |
| Employee Stock Option (Right-to-Buy)F5 | $28.40 | holding | — | — | — | Jan 26, 2013 | Jan 26, 2022 | Common Stock | 3,894 | 3,894 | D |
| Employee Stock Option (Right-to-Buy)F6 | $33.38 | holding | — | — | — | Jan 19, 2017 | Jan 19, 2026 | Common Stock | 6,891 | 6,891 | D |
| Employee Stock Option (Right-to-Buy)F6 | $38.31 | holding | — | — | — | Apr 10, 2016 | Apr 10, 2023 | Common Stock | 1,257 | 1,257 | D |
| Employee Stock Option (Right-to-Buy)F5 | $39.64 | holding | — | — | — | Jan 24, 2014 | Jan 24, 2023 | Common Stock | 2,806 | 2,806 | D |
| Employee Stock Option (Right-to-Buy)F5 | $41.00 | holding | — | — | — | Jan 22, 2016 | Jan 22, 2025 | Common Stock | 3,760 | 3,760 | D |
| Employee Stock Option (Right-to-Buy)F5 | $48.92 | holding | — | — | — | Jan 23, 2015 | Jan 23, 2024 | Common Stock | 2,496 | 2,496 | D |
| Employee Stock Option (Right-to-Buy)F6 | $50.10 | holding | — | — | — | Jan 26, 2018 | Jan 26, 2027 | Common Stock | 9,918 | 9,918 | D |
| Employee Stock Option (Right-to-Buy)F6 | $53.57 | holding | — | — | — | Jan 25, 2019 | Jan 25, 2028 | Common Stock | 9,606 | 9,606 | D |
| Performance Stock Option (Right-to-Buy)F7 | $57.70 | holding | — | — | — | Jan 31, 2021 | Oct 20, 2027 | Common Stock | 34,403 | 34,403 | D |
| Performance Stock UnitsF10,F8,F9 | $0.00 | holding | — | — | — | Jan 19, 2017 | Jan 19, 2019 | Common Stock | 277 | 277 | D |
| Performance Stock UnitsF8,F9 | $0.00 | holding | — | — | — | Jan 25, 2019 | Jan 25, 2021 | Common Stock | 1,024 | 1,024 | D |
| Performance Stock UnitsF10,F8,F9 | $0.00 | holding | — | — | — | Jan 26, 2018 | Jan 26, 2020 | Common Stock | 730 | 730 | D |
| Restricted Stock UnitsF13,F11,F12 | $0.00 | holding | — | — | — | Jan 19, 2017 | Jan 19, 2019 | Common Stock | 278 | 278 | D |
| Restricted Stock UnitsF11,F12 | $0.00 | holding | — | — | — | Jan 25, 2019 | Jan 25, 2021 | Common Stock | 1,024 | 1,024 | D |
| Restricted Stock UnitsF13,F11,F12 | $0.00 | holding | — | — | — | Jan 26, 2018 | Jan 26, 2020 | Common Stock | 1,298 | 1,298 | D |
Explanation of responses
- F1Amount includes shares and dividends acquired pursuant to the H.B.Fuller Company 401(k) & Retirement Plan.
- F10This 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.
- F11These restricted stock units convert into shares of common stock on a 1-for-1 basis.
- F12These restricted stock units vest in three equal annual installments beginning on the date shown.
- F13Amount includes restricted stock units acquired pursuant to a dividend equivalent reinvestment feature.
- F2These units (acquired after 12-31-04) convert into shares of common stock on a 1-for-1 basis.
- F3These 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.
- F4Amount includes stock units acquired pursuant to a dividend equivalent feature.
- F5This option is 100% vested.
- F6This option vests in three equal annual installments beginning on the date shown.
- F7These performance-based non-qualified stock options vest on the date shown contingent upon H.B. Fuller achieving adjusted EBITDA at least at the threshold level of performance.
- F8These performance stock units convert into shares of common stock on a 1-for-1 basis.
- F9These performance stock units vest in three equal 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.