SEC Form 4 · accession 0001225208-16-025674
HARLEY-DAVIDSON, INC. · HOG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sean Cummings
Officer — SVP, Global Demand
Period of report
Feb 2, 2016
Accepted (ET)
Feb 4, 2016 · 7:38 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 3, 2016 | M | 735 | $0.00 | A | 735 | D | |
| Common StockF1 | Feb 3, 2016 | F | 297 | $39.85 | D | 438 | D | |
| Common Stock | holding | — | — | — | 359 | 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,F3 | $0.00 | Feb 2, 2016 | A | 5,164 | A | — | — | Common Stock | 5,164 | 7,369 | D |
| Restricted Stock UnitsF2,F4 | $0.00 | Feb 3, 2016 | M | 735 | D | — | — | Common Stock | 735 | 6,634 | D |
| Stock Option (right to buy)F2,F5 | $63.49 | holding | — | — | — | Feb 3, 2016 | Feb 3, 2025 | Common Stock | 3,528 | 3,528 | D |
Explanation of responses
- F1On 2/3/2016, 735 restricted stock units vested. 297 shares were withheld to pay the tax withholding associated with the vesting. Accordingly, the remaining 438 shares are now reflected as common stock.
- F2Granted pursuant to the Harley-Davidson, Inc. 2014 Incentive Stock Plan.
- F3Each restricted stock unit represents a contingent right to receive one share of stock. One-third of the units granted on 2/2/2016 vest on each of the first three anniversaries of the date of grant. Units are subject to forfeiture until vested.
- F4Each restricted stock unit represents a contingent right to receive one share of stock. One-third of the units granted on each of 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.