SEC Form 4 · accession 0001225208-16-025834
HARLEY-DAVIDSON, INC. · HOG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew S Levatich
Officer — President & CEO · Director
Period of report
Feb 4, 2016
Accepted (ET)
Feb 8, 2016 · 8:47 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 | 3,430 | $0.00 | A | 59,360 | D | |
| Common StockF1 | Feb 4, 2016 | F | 2,462 | $41.25 | D | 56,898 | D | |
| Common Stock | holding | — | — | — | 404 | I | By 401(k) | |
| Common Stock | holding | — | — | — | 10 | I | By ESPP |
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 | Feb 4, 2016 | M | 3,430 | D | — | — | Common Stock | 3,430 | 58,656 | D |
| Stock Option (right to buy)F3,F4 | $63.49 | holding | — | — | — | Feb 3, 2016 | Feb 3, 2025 | Common Stock | 75,602 | 75,602 | D |
| Stock Option (right to buy)F5,F6 | $51.78 | holding | — | — | — | Feb 4, 2014 | Feb 4, 2023 | Common Stock | 34,567 | 34,567 | D |
| Stock Option (right to buy)F5,F7 | $62.33 | holding | — | — | — | Feb 4, 2015 | Feb 4, 2024 | Common Stock | 32,926 | 32,926 | D |
| Stock Option (right to buy)F5,F6 | $45.32 | holding | — | — | — | Feb 6, 2013 | Feb 6, 2022 | Common Stock | 32,198 | 32,198 | D |
| Stock Option (right to buy)F5,F6 | $41.33 | holding | — | — | — | Feb 9, 2012 | Feb 9, 2021 | Common Stock | 26,247 | 26,247 | D |
| Stock Option (right to buy)F8,F6 | $39.04 | holding | — | — | — | Feb 13, 2009 | Feb 13, 2018 | Common Stock | 19,447 | 19,447 | D |
| Stock Option (right to buy)F8,F6 | $68.91 | holding | — | — | — | Feb 14, 2008 | Feb 14, 2017 | Common Stock | 9,149 | 9,149 | D |
Explanation of responses
- F1On 2/4/2016, 3,430 restricted stock units vested. 1,201 shares were withheld to pay the tax withholding associated with the vesting. In addition, on 2/4/2016, 3,601 shares of restricted stock vested and 1,261 shares were withheld to pay the tax withholding associated with that vesting. Accordingly, the remaining 4,569 shares are now reflected as common stock.
- F2Each 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, 2/4/2015 and 2/2/2016 vest on each of the first three anniversaries of the date of grant. Units are subject to forfeiture until vested.
- 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
- 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.
- F8Granted pursuant to the Harley-Davidson, Inc. 2004 Incentive Stock Plan.