SEC Form 4 · accession 0001225208-16-033166
HARLEY-DAVIDSON, INC. · HOG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michelle Kumbier
Officer — SVP, Motor Co. Product & Ops
Period of report
May 10, 2016
Accepted (ET)
May 11, 2016 · 5:54 pm EDT
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 | May 10, 2016 | M | 12,011 | $41.33 | A | 12,011 | D | |
| Common Stock | May 10, 2016 | M | 8,920 | $45.32 | A | 20,931 | D | |
| Common Stock | May 10, 2016 | M | 5,736 | $39.04 | A | 26,667 | D | |
| Common StockF1 | May 10, 2016 | S | 26,667 | $46.2504 | D | 0 | D | |
| Common Stock | holding | — | — | — | 2,275 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy) | $45.32 | May 10, 2016 | M | 8,920 | D | Feb 6, 2013 | Feb 6, 2022 | Common Stock | 8,920 | 0 | D |
| Stock Option (right to buy) | $41.33 | May 10, 2016 | M | 12,011 | D | Feb 9, 2012 | Feb 9, 2021 | Common Stock | 12,011 | 0 | D |
| Stock Option (right to buy) | $39.04 | May 10, 2016 | M | 5,736 | D | Feb 13, 2009 | Feb 13, 2018 | Common Stock | 5,736 | 0 | D |
| Restricted Stock UnitsF2 | $0.00 | holding | — | — | — | — | — | Common Stock | 21,237 | 21,237 | D |
| Stock Option (right to buy)F3,F4 | $63.49 | holding | — | — | — | Feb 3, 2016 | Feb 3, 2025 | Common Stock | 10,484 | 10,484 | D |
| Stock Option (right to buy)F5,F6 | $51.78 | holding | — | — | — | Feb 4, 2014 | Feb 4, 2023 | Common Stock | 10,980 | 10,980 | D |
| Stock Option (right to buy)F5,F7 | $62.33 | holding | — | — | — | Feb 4, 2015 | Feb 4, 2024 | Common Stock | 9,823 | 9,823 | D |
| Stock Option (right to buy)F8,F6 | $68.91 | holding | — | — | — | Feb 14, 2008 | Feb 14, 2017 | Common Stock | 2,934 | 2,934 | D |
Explanation of responses
- F1The reported price in this column is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $46.250 to $46.256 per share. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- 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 (pursuant to the 2009 Incentive Stock Plan) and 2/3/2015 and 2/2/2016 (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.
- 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.