SEC Form 4 · accession 0001225208-17-003618
HARLEY-DAVIDSON, INC. · HOG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tchernavia Rocker
Officer — VP-Human Resources
Period of report
Feb 14, 2017
Accepted (ET)
Feb 16, 2017 · 6:38 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 14, 2017 | S | 1,377 | $57.15 | D | 0 | D | |
| Common Stock | holding | — | — | — | 594 | 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 UnitsF1,F2 | $0.00 | holding | — | — | — | — | — | Common Stock | 6,222 | 6,222 | D |
| Restricted Stock UnitsF1,F3 | $0.00 | holding | — | — | — | Feb 1, 2020 | — | Common Stock | 5,302 | 5,302 | D |
| Stock Option (right to buy)F4,F5 | $45.32 | holding | — | — | — | Feb 6, 2013 | Feb 6, 2022 | Common Stock | 4,237 | 4,237 | D |
| Stock Option (right to buy)F4,F5 | $51.78 | holding | — | — | — | Feb 4, 2014 | Feb 4, 2023 | Common Stock | 3,708 | 3,708 | D |
| Stock Option (right to buy)F4,F5 | $62.33 | holding | — | — | — | Feb 4, 2015 | Feb 4, 2024 | Common Stock | 3,200 | 3,200 | D |
| Stock Option (right to buy)F1,F6 | $63.49 | holding | — | — | — | Feb 3, 2016 | Feb 3, 2025 | Common Stock | 3,276 | 3,276 | D |
| Stock Option (right to buy)F7 | $68.91 | holding | — | — | — | Feb 14, 2008 | Feb 14, 2017 | Common Stock | 820 | 820 | D |
Explanation of responses
- F1Granted pursuant to the Harley-Davidson, Inc. 2014 Incentive Stock Plan.
- F2Each restricted stock unit represents a contingent right to receive one share of stock. One-third of the units granted on each of 2/3/2015, 2/2/2016, and 2/1/2017 vest on each of the first three anniversaries of the date of grant. Units are subject to forfeiture until vested.
- F3Each restricted stock unit (RSU) represents a contingent right to receive one share of stock. The RSUs granted vest in full after 3 years from the date of grant. Units are subject to forfeiture until vested.
- F4Granted pursuant to the Harley-Davidson, Inc. 2009 Incentive Stock Plan.
- F5All options are currently exercisable.
- 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.