SEC Form 4 · accession 0001225208-16-041165
HARLEY-DAVIDSON, INC. · HOG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Donald A James
Director
Period of report
Nov 2, 2016
Accepted (ET)
Nov 3, 2016 · 6:25 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 StockF1,F2 | Nov 2, 2016 | S | 100,000 | $56.1255 | D | 311,788 | I | By Corporation |
| Common Stock | holding | — | — | — | 5,523 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Post-2014 Share UnitF3,F6,F4,F5 | — | holding | — | — | — | — | — | Common Stock | 2,625 | 2,625 | D |
| Share UnitsF3,F6,F4,F7 | — | holding | — | — | — | — | — | Common Stock | 31,047 | 31,047 | D |
Explanation of responses
- F1The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $56.00 to 56.40 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.
- F2Shares of common stock of Harley-Davidson, Inc. are held by Fred Deeley Limited.
- F3Granted pursuant to the Harley-Davidson, Inc. Director Stock Plan, as amended.
- F41-for-1
- F5Each Deferred Stock Unit is the equivalent of one share of common stock. The shares are payable on the one year anniversary of the grant date or upon the earlier termination of service as a director.
- F6Includes additional Share Units credited to the reporting person pursuant to dividend reinvestment provisions of the Harley-Davidson, Inc. Director Stock Plan.
- F7Share units are payable in issuer's common stock following termination of service as a director and are subject to earlier payment pursuant to the Harley-Davidson, Inc. Director Stock Plan, as amended (share units payable in cash in limited circumstances according to the Plan).