SEC Form 4/A · accession 0001225208-19-002226
FULLER H B CO · FUL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Zhiwei Cai
Officer — Sr. VP, Engineering Adhesives
Period of report
Jan 11, 2019
Accepted (ET)
Feb 12, 2019 · 11:24 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000039368
Table I — non-derivative securities
No Table I lines on this filing.
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 | Jan 11, 2019 | A | 6 | A | — | — | Common Stock | 6 | 1,473 | D |
| Performance Stock UnitsF6,F4,F5 | $0.00 | holding | — | — | — | Jan 19, 2017 | Jan 19, 2019 | Common Stock | 384 | 384 | D |
Explanation of responses
- F1These units (acquired after 12-31-04) convert into shares of common stock on a 1-for-1 basis.
- 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 Deferred Compensation Plan or such earlier date as selected by the participant, subject to holding periods required by law.
- F3Amount includes stock units acquired pursuant to a dividend equivalent feature.
- F4These performance stock units convert into shares of common stock on a 1-for-1 basis.
- F5These 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.
- F6This 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.
Remarks
Amendment filed to correct number of phantom units acquired by Reporting Person.