SEC Form 4 · accession 0001225208-17-014471
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
Aug 30, 2017
Accepted (ET)
Sep 1, 2017 · 4:29 pm EDT
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 | Aug 30, 2017 | M | 15,013 | $18.92 | A | 23,673 | D | |
| Common StockF1 | Aug 30, 2017 | S | 15,013 | $47.1797 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2,F3 | $18.92 | Aug 30, 2017 | M | 15,013 | D | Jul 17, 2010 | Jul 17, 2019 | Common Stock | 15,013 | 25,040 | D |
| Restricted Stock UnitsF4,F5 | $0.00 | holding | — | — | — | — | — | Common Stock | 17,084 | 17,084 | D |
| Stock Option (right to buy)F2,F3 | $22.63 | holding | — | — | — | Feb 10, 2011 | Feb 10, 2020 | Common Stock | 25,073 | 25,073 | D |
| Stock Option (right to buy)F2,F3 | $62.33 | holding | — | — | — | Feb 4, 2015 | Feb 4, 2025 | Common Stock | 19,509 | 19,509 | D |
| Stock Option (right to buy)F4,F6 | $63.49 | holding | — | — | — | Feb 3, 2016 | Feb 3, 2025 | Common Stock | 20,950 | 20,950 | D |
Explanation of responses
- F1The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $47.13 to $47.20 per share. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F2Granted pursuant to the Harley-Davidson, Inc. 2009 Incentive Stock Plan.
- F3All options are currently exercisable.
- F4Granted pursuant to the Harley-Davidson, Inc. 2014 Incentive Stock Plan.
- F5Each restricted stock unit represents a contingent right to receive one share of stock. One-third of the units granted on 2/3/2015, 2/2/2016 and February 1, 2017 (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.
- 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.