SEC Form 4 · accession 0001225208-15-003109
HARLEY-DAVIDSON, INC. · HOG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul J Jones
Officer — VP, General Counsel & Sec'y
Period of report
Feb 3, 2015
Accepted (ET)
Feb 5, 2015 · 9:18 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 Stock | Feb 4, 2015 | M | 1,353 | $0.00 | A | 2,555 | D | |
| Common StockF1 | Feb 4, 2015 | F | 948 | $62.76 | D | 1,607 | D | |
| Common Stock (restricted stock)F2 | holding | — | — | — | 2,352 | D | ||
| Common Stock | holding | — | — | — | 1,039 | 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 UnitsF3,F4 | $0.00 | Feb 3, 2015 | A | 4,331 | A | — | — | Common Stock | 4,331 | 8,390 | D |
| Stock Option (right to buy)F3,F5 | $63.49 | Feb 3, 2015 | A | 13,860 | A | Feb 3, 2016 | Feb 3, 2025 | Common Stock | 13,860 | 13,860 | D |
| Restricted Stock UnitsF6,F7 | $0.00 | Feb 4, 2015 | M | 1,353 | D | — | — | Common Stock | 1,353 | 7,037 | D |
| Stock Option (right to buy)F8,F9 | $51.78 | holding | — | — | — | Feb 4, 2014 | Feb 4, 2023 | Common Stock | 11,536 | 11,536 | D |
| Stock Option (right to buy)F6,F9 | $62.33 | holding | — | — | — | Feb 4, 2015 | Feb 4, 2024 | Common Stock | 12,989 | 12,989 | D |
| Stock Option (right to buy)F8,F9 | $45.32 | holding | — | — | — | Feb 6, 2013 | Feb 6, 2022 | Common Stock | 11,039 | 11,039 | D |
| Stock Option (right to buy)F8,F10 | $41.33 | holding | — | — | — | Feb 9, 2012 | Feb 9, 2021 | Common Stock | 6,788 | 6,788 | D |
Explanation of responses
- F1On 2/4/2015, 1202 shares of restricted stock vested. 485 shares were withheld to pay the tax withholding associated with the vesting. Additionally, on 2/4/2015, 1353 restricted stock units vested. 463 shares were withheld to pay the tax withholding associated with the vesting. Accordingly, the remaining 1607 shares are now reflected as common stock.
- F10All options are currently exercisable.
- F2The 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, 1202 shares of restricted stock vested. 485 shares were withheld to pay the tax withholding associated with the vesting.
- F3Granted pursuant to the Harley-Davidson, Inc. 2014 Incentive Stock Plan.
- F4Each 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.
- F5Options 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.
- F6Granted pursuant to the Harley-Davidson, Inc. 2009 Incentive Stock Plan.
- F7Each 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.
- F8Granted pursuant to the Harley-Davidson, Inc. 2009 Incentive Stock Plan
- F9Options 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.