SEC Form 4 · accession 0001225208-17-002478
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
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 | 3,592 | $0.00 | A | 7,977 | D | |
| Common Stock | Feb 2, 2017 | F | 1,704 | $56.25 | D | 6,273 | D | |
| Common Stock | Feb 3, 2017 | M | 2,182 | $0.00 | A | 8,455 | D | |
| Common Stock | Feb 3, 2017 | F | 946 | $56.45 | D | 7,509 | D | |
| Common Stock | Feb 4, 2017 | M | 2,033 | $0.00 | A | 9,542 | D | |
| Common StockF1 | Feb 4, 2017 | F | 882 | $56.45 | D | 8,660 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2 | $0.00 | Feb 2, 2017 | M | 3,592 | D | — | — | Common Stock | 3,592 | 21,299 | D |
| Restricted Stock UnitsF2 | $0.00 | Feb 3, 2017 | M | 2,182 | D | — | — | Common Stock | 2,182 | 19,117 | D |
| Restricted Stock UnitsF2 | $0.00 | Feb 4, 2017 | M | 2,033 | D | — | — | Common Stock | 2,033 | 17,084 | D |
| Stock Option (right to buy)F3,F4 | $18.92 | holding | — | — | — | Jul 17, 2010 | Jul 17, 2019 | Common Stock | 40,053 | 40,053 | D |
| Stock Option (right to buy)F3,F4 | $22.63 | holding | — | — | — | Feb 10, 2011 | Feb 10, 2020 | Common Stock | 25,073 | 25,073 | D |
| Stock Option (right to buy)F3,F4 | $62.33 | holding | — | — | — | Feb 4, 2015 | Feb 4, 2025 | Common Stock | 19,509 | 19,509 | D |
| Stock Option (right to buy)F5,F6 | $63.49 | holding | — | — | — | Feb 3, 2016 | Feb 3, 2025 | Common Stock | 20,950 | 20,950 | D |
Explanation of responses
- F1On 2/2/2017, 3,592 restricted stock units vested; on 2/3/2017, 2,182 restricted stock units vested; on 2/4/2017, 2,033 restricted stock units vested. A total of 3,532 shares were withheld to pay the tax withholding associated with the vesting. Accordingly, the remaining 4,275 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.