SEC Form 4 · accession 0001225208-15-004344
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 13, 2015
Accepted (ET)
Feb 17, 2015 · 7:31 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 13, 2015 | S | 546 | $63.90 | D | 0 | D | |
| Common Stock (restricted stock)F1 | holding | — | — | — | 807 | 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 UnitsF2 | $0.00 | holding | — | — | — | — | — | Common Stock | 3,941 | 3,941 | D |
| Stock Option (right to buy)F3,F4 | $63.49 | holding | — | — | — | Feb 3, 2016 | Feb 3, 2025 | Common Stock | 3,864 | 3,864 | D |
| Stock Option (right to buy)F5,F6 | $51.78 | holding | — | — | — | Feb 4, 2014 | Feb 4, 2023 | Common Stock | 3,873 | 3,873 | D |
| Stock Option (right to buy)F5,F6 | $62.33 | holding | — | — | — | Feb 4, 2015 | Feb 4, 2024 | Common Stock | 3,662 | 3,662 | D |
| Stock Option (right to buy)F5,F7 | $45.32 | holding | — | — | — | Feb 6, 2013 | Feb 6, 2022 | Common Stock | 3,978 | 3,978 | D |
| Stock Option (right to buy)F8,F7 | $68.91 | holding | — | — | — | Feb 14, 2008 | Feb 14, 2017 | Common Stock | 951 | 951 | D |
Explanation of responses
- F1The restricted stock granted 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.
- F2Each 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.
- F3Granted pursuant to the Harley-Davidson, Inc. 2014 Incentive Stock Plan.
- F4Options 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.
- F5Granted pursuant to the Harley-Davidson, Inc. 2009 Incentive Stock Plan
- F6Options 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.
- F7All options are currently exercisable.
- F8Granted pursuant to the Harley-Davidson, Inc. 2004 Incentive Stock Plan.