SEC Form 4 · accession 0001225208-18-002173
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 1, 2018
Accepted (ET)
Feb 5, 2018 · 8:24 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 1, 2018 | M | 1,244 | $0.00 | A | 1,244 | D | |
| Common Stock | Feb 1, 2018 | F | 651 | $48.68 | D | 593 | D | |
| Common Stock | holding | — | — | — | 749 | 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 | $0.00 | Feb 1, 2018 | M | 1,244 | D | — | — | Common Stock | 1,244 | 4,978 | D |
| Restricted Stock UnitsF2 | $0.00 | Feb 2, 2018 | A | 6,064 | A | — | — | Common Stock | 6,064 | 11,042 | D |
| Restricted Stock UnitsF3 | $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)F6,F5 | $63.49 | holding | — | — | — | Feb 3, 2016 | Feb 3, 2025 | Common Stock | 3,276 | 3,276 | D |
| Stock Option (right to buy)F7,F5 | $68.91 | holding | — | — | — | Feb 14, 2008 | Feb 14, 2017 | Common Stock | 820 | 820 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of stock. One-third of the units granted on 2/1/2017 vest on each of the first three anniversaries of the date of grant. Units are subject to forfeiture until vested.
- F2Each restricted stock unit represents a contingent right to receive one share of stock. One-third of the units granted on 2/2/2018 vest on each of the first three anniversaries of the date of grant. Units are subject to forfeiture until vested.
- F3Each restricted stock unit represents a contingent right to receive one share of stock. The units 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.
- F6Granted pursuant to the Harley-Davidson, Inc. 2014 Incentive Stock Plan.
- F7Granted pursuant to the Harley-Davidson, Inc. 2004 Incentive Stock Plan.