SEC Form 4 · accession 0001225208-18-002190
HARLEY-DAVIDSON, INC. · HOG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michelle Kumbier
Officer — SVP, Motor Co. Product & Ops
Period of report
Feb 2, 2018
Accepted (ET)
Feb 6, 2018 · 7:10 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, 2018 | M | 2,676 | $0.00 | A | 3,910 | D | |
| Common Stock | Feb 2, 2018 | F | 1,258 | $47.50 | D | 2,652 | D | |
| Common Stock | Feb 3, 2018 | M | 1,092 | $0.00 | A | 3,744 | D | |
| Common Stock | Feb 3, 2018 | F | 514 | $47.50 | D | 3,230 | D | |
| Common Stock | Feb 4, 2018 | M | 10,000 | $0.00 | A | 13,230 | D | |
| Common Stock | Feb 4, 2018 | F | 4,700 | $47.50 | D | 8,530 | D | |
| Common Stock | holding | — | — | — | 763 | 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 2, 2018 | M | 2,676 | D | — | — | Common Stock | 2,676 | 31,307 | D |
| Restricted Stock UnitsF2 | $0.00 | Feb 3, 2018 | M | 1,092 | D | — | — | Common Stock | 1,092 | 30,215 | D |
| Restricted Stock UnitsF3 | $0.00 | Feb 4, 2018 | M | 10,000 | D | — | — | Common Stock | 10,000 | 20,215 | D |
| Restricted Stock UnitsF4 | $0.00 | holding | — | — | — | Feb 1, 2020 | — | Common Stock | 10,603 | 10,603 | D |
| Stock Option (right to buy)F5,F6 | $51.78 | holding | — | — | — | Feb 4, 2014 | Feb 4, 2023 | Common Stock | 10,980 | 10,980 | D |
| Stock Option (right to buy)F5,F6 | $62.33 | holding | — | — | — | Feb 4, 2015 | Feb 4, 2024 | Common Stock | 9,823 | 9,823 | D |
| Stock Option (right to buy)F7,F6 | $63.49 | holding | — | — | — | Feb 3, 2016 | Feb 3, 2025 | Common Stock | 10,484 | 10,484 | D |
| Stock Option (right to buy)F8,F6 | $68.91 | holding | — | — | — | Feb 14, 2008 | Feb 14, 2017 | Common Stock | 2,934 | 2,934 | 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 2/2/2016 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 2/3/2015 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. One-third of the units granted on 2/4/2014 vest on each of the first three anniversaries of the date of grant. Units are subject to forfeiture until vested.
- F4Each 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.
- F5Granted pursuant to the Harley-Davidson, Inc. 2009 Incentive Stock Plan.
- F6All options are currently exercisable.
- F7Granted pursuant to the Harley-Davidson, Inc. 2014 Incentive Stock Plan.
- F8Granted pursuant to the Harley-Davidson, Inc. 2004 Incentive Stock Plan.