SEC Form 4 · accession 0001225208-16-025831
HARLEY-DAVIDSON, INC. · HOG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul J Jones
Officer — VP & Chief Legal Officer
Period of report
Feb 4, 2016
Accepted (ET)
Feb 8, 2016 · 8:36 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, 2016 | M | 1,353 | $0.00 | A | 3,416 | D | |
| Common StockF1 | Feb 4, 2016 | F | 899 | $41.25 | D | 2,517 | D | |
| Common Stock | holding | — | — | — | 1,262 | 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 4, 2016 | M | 1,353 | D | — | — | Common Stock | 1,353 | 11,827 | 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)F2,F6 | $51.78 | holding | — | — | — | Feb 4, 2014 | Feb 4, 2023 | Common Stock | 11,536 | 11,536 | D |
| Stock Option (right to buy)F2,F7 | $62.33 | holding | — | — | — | Feb 4, 2015 | Feb 4, 2024 | Common Stock | 12,989 | 12,989 | D |
| Stock Option (right to buy)F2,F6 | $45.32 | holding | — | — | — | Feb 6, 2013 | Feb 6, 2022 | Common Stock | 11,039 | 11,039 | D |
Explanation of responses
- F1On 2/4/2016, 1,353 restricted stock units vested. 463 shares were withheld to pay the tax withholding associated with the vesting. In addition, on 2/4/2016, 1,202 shares of restricted stock vested and 436 shares were withheld to pay the tax withholding associated with that vesting. Accordingly, the remaining 1,656 shares are now reflected as common stock.
- F2Granted pursuant to the Harley-Davidson, Inc. 2009 Incentive Stock Plan
- F3Each restricted stock unit represents a contingent right to receive one share of stock. One-third of the units granted on each of 2/4/2014, 2/3/2015 and 2/2/2016 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.
- F6All options are currently exercisable.
- 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.