SEC Form 4 · accession 0001225208-15-003094
HARLEY-DAVIDSON, INC. · HOG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John P Baker
Officer — GM, Corp Strat,Bus Dev & Susta
Period of report
Feb 3, 2015
Accepted (ET)
Feb 5, 2015 · 8:18 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000793952
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 4, 2015 | M | 763 | $0.00 | A | 1,570 | D | |
| Common StockF2 | Feb 4, 2015 | F | 628 | $62.76 | D | 942 | D | |
| Common Stock (restricted stock)F3 | holding | — | — | — | 1,636 | D | ||
| Common Stock | holding | — | — | — | 10,650 | I | By 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF4,F5 | $0.00 | Feb 3, 2015 | A | 2,415 | A | — | — | Common Stock | 2,415 | 4,704 | D |
| Stock Option (right to buy)F4,F6 | $63.49 | Feb 3, 2015 | A | 3,864 | A | Feb 3, 2016 | Feb 3, 2025 | Common Stock | 3,864 | 3,864 | D |
| Restricted Stock UnitsF7,F9,F8 | $0.00 | Feb 4, 2015 | M | 763 | D | — | — | Common Stock | 763 | 3,941 | D |
| Stock Option (right to buy)F7,F10 | $51.78 | holding | — | — | — | Feb 4, 2014 | Feb 4, 2023 | Common Stock | 3,873 | 3,873 | D |
| Stock Option (right to buy)F7,F10 | $62.33 | holding | — | — | — | Feb 4, 2015 | Feb 4, 2024 | Common Stock | 3,662 | 3,662 | D |
| Stock Option (right to buy)F7,F10 | $45.32 | holding | — | — | — | Feb 6, 2013 | Feb 6, 2022 | Common Stock | 3,978 | 3,978 | D |
| Stock Option (right to buy)F11,F12 | $68.91 | holding | — | — | — | Feb 14, 2008 | Feb 14, 2017 | Common Stock | 951 | 951 | D |
Explanation of responses
- F1Common Stock resulting from vesting of restricted stock units.
- F10Options granted pursuant to the Harley-Davidson, Inc. 2009 Incentive Stock Plan shall become exercisable for one-third of the shares covered by the option on each of the first three anniversaries of the date of grant.
- F11Granted pursuant to the Harley-Davidson, Inc. 2004 Incentive Stock Plan.
- F12All options are currently exercisable.
- F2On 2/4/2015, 807 shares of restricted stock vested. 326 shares were withheld to pay the tax withholding associated with the vesting. Additionally, on 2/4/2015, 763 restricted stock units vested. 302 shares were withheld to pay the tax withholding associated with the vesting. Accordingly, the remaining 942 shares are now reflected as common stock.
- F3The restricted stock granted 2/6/12 and 2/4/13 was granted pursuant to the Harley-Davidson, Inc. 2009 Incentive Stock Plan and one-third of the shares of restricted stock vest on each of the first three anniversaries of the date of grant and are subject to forfeiture until vested. On 2/4/2015, 807 shares of restricted stock vested. 326 shares were withheld to pay the tax withholding associated with the vesting.
- F4Granted pursuant to the Harley-Davidson, Inc. 2014 Incentive Stock Plan.
- F5Each restricted stock unit represents a contingent right to receive one share of stock. One-third of the units granted on 2/3/2015 vest on each of the first three anniversaries of the date of grant. Units are subject to forfeiture until vested.
- F6Options granted pursuant to the Harley-Davidson, Inc. 2014 Incentive Stock Plan shall become exercisable for one-third of the shares covered by the option on each of the first three anniversaries of the date of grant.
- F7Granted pursuant to the Harley-Davidson, Inc. 2009 Incentive Stock Plan
- F8Each restricted stock unit represents a contingent right to receive one share of stock. One-third of the units granted on 2/4/2014 vest on each of the first three anniversaries of the date of grant. Units are subject to forfeiture until vested.
- F9There is no price associated with this transaction.