SEC Form 4 · accession 0001225208-18-002802
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 12, 2018
Accepted (ET)
Feb 13, 2018 · 6:31 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 StockF1 | Feb 12, 2018 | S | 1,401 | $47.7446 | D | 0 | 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 UnitsF2 | $0.00 | holding | — | — | — | — | — | Common Stock | 9,456 | 9,456 | 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
- F1The price in Column 4 is a weighted average price. The prices actually received ranged from $47.74 to $47.762. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.
- F2Each restricted stock unit represents a contingent right to receive one share of stock. One-third of the units granted on 2/2/2016, 2/1/2017 and 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.