SEC Form 4 · accession 0001225208-17-002477
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 2, 2017
Accepted (ET)
Feb 6, 2017 · 9:33 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 2, 2017 | M | 13,158 | $0.00 | A | 70,056 | D | |
| Common Stock | Feb 2, 2017 | F | 6,553 | $56.25 | D | 63,503 | D | |
| Common Stock | Feb 3, 2017 | M | 7,875 | $0.00 | A | 71,378 | D | |
| Common Stock | Feb 3, 2017 | F | 3,907 | $56.45 | D | 67,471 | D | |
| Common Stock | Feb 4, 2017 | M | 3,430 | $0.00 | A | 70,901 | D | |
| Common StockF1 | Feb 4, 2017 | F | 1,702 | $56.45 | D | 69,199 | D | |
| Common Stock | holding | — | — | — | 590 | 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 2, 2017 | M | 13,158 | D | — | — | Common Stock | 13,158 | 74,055 | D |
| Restricted Stock UnitsF2 | $0.00 | Feb 3, 2017 | M | 7,875 | D | — | — | Common Stock | 7,875 | 66,180 | D |
| Restricted Stock UnitsF2 | $0.00 | Feb 4, 2017 | M | 3,430 | D | — | — | Common Stock | 3,430 | 62,750 | D |
| Stock Option (right to buy)F3,F4 | $39.04 | holding | — | — | — | Feb 13, 2009 | Feb 13, 2018 | Common Stock | 19,447 | 19,447 | D |
| Stock Option (right to buy)F3,F4 | $41.33 | holding | — | — | — | Feb 9, 2012 | Feb 9, 2021 | Common Stock | 26,247 | 26,247 | D |
| Stock Option (right to buy)F3,F4 | $45.32 | holding | — | — | — | Feb 6, 2013 | Feb 6, 2022 | Common Stock | 32,198 | 32,198 | D |
| Stock Option (right to buy)F3,F4 | $51.78 | holding | — | — | — | Feb 4, 2014 | Feb 4, 2023 | Common Stock | 34,567 | 34,567 | D |
| Stock Option (right to buy)F3,F4 | $62.33 | holding | — | — | — | Feb 4, 2015 | Feb 4, 2024 | Common Stock | 32,926 | 32,926 | D |
| Stock Option (right to buy)F5,F6 | $63.49 | holding | — | — | — | Feb 3, 2016 | Feb 3, 2025 | Common Stock | 75,602 | 75,602 | D |
| Stock Option (right to buy)F7,F4 | $68.91 | holding | — | — | — | Feb 14, 2008 | Feb 14, 2017 | Common Stock | 9,149 | 9,149 | D |
Explanation of responses
- F1On 2/2/2017, 13,158 restricted stock units vested; on 2/3/2017, 7,875 restricted stock units vested; on 2/4/2017, 3,430 restricted stock units vested. A total of 12,162 shares were withheld to pay the tax withholding associated with the vesting. Accordingly, the remaining 12,291 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 2/4/2014 (granted pursuant to the 2009 Incentive Stock Plan) and 2/3/2015 and 2/2/2016 (granted 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. 2009 Incentive Stock Plan.
- F4All options are currently exercisable.
- F5Granted pursuant to the Harley-Davidson, Inc. 2014 Incentive Stock Plan.
- F6Options 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.
- F7Granted pursuant to the Harley-Davidson, Inc. 2004 Incentive Stock Plan.