SEC Form 4 · accession 0001225208-16-041892
HARLEY-DAVIDSON, INC. · HOG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lawrence G Hund
Officer — President-HDFS
Period of report
Nov 14, 2016
Accepted (ET)
Nov 16, 2016 · 6:56 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 | Nov 14, 2016 | M | 21,053 | $51.78 | A | 25,438 | D | |
| Common Stock | Nov 14, 2016 | M | 7,218 | $45.32 | A | 32,656 | D | |
| Common Stock | Nov 14, 2016 | S | 28,271 | $60.00 | D | 4,385 | D | |
| Common Stock | holding | — | — | — | 1,619 | I | By Wife |
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)F1,F2 | $51.78 | Nov 14, 2016 | M | 21,053 | D | Feb 4, 2014 | Feb 4, 2023 | Common Stock | 21,053 | 0 | D |
| Stock Option (right to buy)F1,F2 | $45.32 | Nov 14, 2016 | M | 7,218 | D | Feb 6, 2013 | Feb 6, 2022 | Common Stock | 7,218 | 0 | D |
| Restricted Stock UnitsF3,F4 | $0.00 | holding | — | — | — | — | — | Common Stock | 17,176 | 17,176 | D |
| Stock Option (right to buy)F1,F5 | $18.92 | holding | — | — | — | Jul 17, 2010 | Jul 17, 2019 | Common Stock | 40,053 | 40,053 | D |
| Stock Option (right to buy)F1,F2 | $22.63 | holding | — | — | — | Feb 10, 2011 | Feb 10, 2020 | Common Stock | 25,073 | 25,073 | D |
| Stock Option (right to buy)F6,F2 | $62.33 | holding | — | — | — | Feb 4, 2015 | Feb 4, 2025 | Common Stock | 19,509 | 19,509 | D |
| Stock Option (right to buy)F7,F8 | $63.49 | holding | — | — | — | Feb 3, 2016 | Feb 3, 2025 | Common Stock | 20,950 | 20,950 | D |
Explanation of responses
- F1Granted pursuant to the Harley-Davidson, Inc. 2009 Incentive Stock Plan.
- F2Options 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.
- F3RSUs granted on 2/4/14 were granted pursuant to the Harley-Davidson, Inc. 2009 Incentive Stock Plan. RSUs granted on 2/3/15 and 2/2/16 were granted pursuant to the Harley-Davidson, Inc. 2014 Incentive Stock Plan.
- F4Each restricted stock unit represents a contingent right to receive one share of common stock. One-third of the units granted on 2/4/2014 (granted pursuant to the 2009 Incentive Stock Plan) and 2/3/2015 (granted pursuant to the 2014 Incentive Stock Plan) and 2/2/2016 ( granted pursuant to the 2014 Incentive Stock Plan) each 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. 2009 Incentive Stock Plan shall become exercisable for 25% of the shares covered by the option on each of the first four anniversaries of the date of grant.
- F6Granted pursuant to the Harley-Davidson, Inc. 2009 Incentive Stock Plan.
- F7Granted pursuant to the Harley-Davidson, Inc. 2014 Incentive Stock Plan.
- F8Options 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.