SEC Form 4 · accession 0001225208-17-002481
HARLEY-DAVIDSON, INC. · HOG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul J Jones
Officer — VP & Chief Legal Officer
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 | 2,528 | $0.00 | A | 2,528 | D | |
| Common Stock | Feb 2, 2017 | F | 953 | $56.25 | D | 1,575 | D | |
| Common Stock | Feb 3, 2017 | M | 1,444 | $0.00 | A | 3,019 | D | |
| Common Stock | Feb 3, 2017 | F | 504 | $56.45 | D | 2,515 | D | |
| Common Stock | Feb 4, 2017 | M | 1,353 | $0.00 | A | 3,868 | D | |
| Common StockF1 | Feb 4, 2017 | F | 474 | $56.45 | D | 3,394 | D | |
| Common Stock | holding | — | — | — | 1,599 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2 | $0.00 | Feb 2, 2017 | M | 2,528 | D | — | — | Common Stock | 2,528 | 14,729 | D |
| Restricted Stock UnitsF2 | $0.00 | Feb 3, 2017 | M | 1,444 | D | — | — | Common Stock | 1,444 | 13,285 | D |
| Restricted Stock UnitsF2 | $0.00 | Feb 4, 2017 | M | 1,353 | D | — | — | Common Stock | 1,353 | 11,932 | D |
| Stock Option (right to buy)F3,F4 | $45.32 | holding | — | — | — | Feb 6, 2013 | Feb 6, 2022 | Common Stock | 11,039 | 11,039 | D |
| Stock Option (right to buy)F3,F4 | $51.78 | holding | — | — | — | Feb 4, 2014 | Feb 4, 2023 | Common Stock | 11,536 | 11,536 | D |
| Stock Option (right to buy)F5,F4 | $62.33 | holding | — | — | — | Feb 4, 2015 | Feb 4, 2024 | Common Stock | 12,989 | 12,989 | D |
| Stock Option (right to buy)F6,F7 | $63.49 | holding | — | — | — | Feb 3, 2016 | Feb 3, 2025 | Common Stock | 13,860 | 13,860 | D |
Explanation of responses
- F1On 2/2/2017, 2,528 restricted stock units vested; on 2/3/2017, 1,444 restricted stock units vested; on 2/4/2017, 1,353 restricted stock units vested. 1,931 shares were withheld to pay the tax withholding associated with the vestings. Accordingly, the remaining 3,394 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. 2009 Incentive Stock Plan.
- F6Granted pursuant to the Harley-Davidson, Inc. 2014 Incentive Stock Plan.
- F7Options 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.