SEC Form 4 · accession 0001225208-15-003275
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 6, 2015
Accepted (ET)
Feb 9, 2015 · 8:34 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 6, 2015 | F | 403 | $64.21 | D | 2,354 | D | |
| Common Stock (restricted stock)F2 | holding | — | — | — | 1,202 | 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 | $0.00 | holding | — | — | — | — | — | Common Stock | 7,037 | 7,037 | D |
| Stock Option (right to buy)F4,F5 | $63.49 | holding | — | — | — | Feb 3, 2016 | Feb 3, 2025 | Common Stock | 13,860 | 13,860 | D |
| Stock Option (right to buy)F6,F7 | $51.78 | holding | — | — | — | Feb 4, 2014 | Feb 4, 2023 | Common Stock | 11,536 | 11,536 | D |
| Stock Option (right to buy)F8,F7 | $62.33 | holding | — | — | — | Feb 4, 2015 | Feb 4, 2024 | Common Stock | 12,989 | 12,989 | D |
| Stock Option (right to buy)F6,F9 | $45.32 | holding | — | — | — | Feb 6, 2013 | Feb 6, 2022 | Common Stock | 11,039 | 11,039 | D |
| Stock Option (right to buy)F6,F9 | $41.33 | holding | — | — | — | Feb 9, 2012 | Feb 9, 2021 | Common Stock | 6,788 | 6,788 | D |
Explanation of responses
- F1On 2/6/2015, 1150 shares of restricted stock vested. 403 shares were withheld to pay the tax withholding associated with the vesting. Accordingly, the remaining 747 shares are now reflected as common stock.
- F2The restricted stock granted 2/6/12 and 2/6/13 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 2/6/2015, 1150 shares of restricted stock vested. 403 shares were withheld to pay the tax withholding associated with the vesting. Accordingly, the remaining 747 shares are now reflected as common stock.
- F3Each restricted stock unit represents a contingent right to receive one share of stock. One-third of the units granted on 2/4/2014 (granted pursuant to the 2009 Incentive Stock Plan) and 2/3/2015 (granted pursuant to the 2014 Incentive Stock Plan) vest on each of the first three anniversaries of the date of grant. Units are subject to forfeiture until vested.
- F4Granted pursuant to the Harley-Davidson, Inc. 2014 Incentive Stock Plan.
- 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
- F7Options 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.
- F8Granted pursuant to the Harley-Davidson, Inc. 2009 Incentive Stock Plan.
- F9All options are currently exercisable.