SEC Form 4 · accession 0001225208-18-012554
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 10, 2018
Accepted (ET)
Aug 14, 2018 · 5:27 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 10, 2018 | M | 25,040 | $18.92 | A | 29,715 | D | |
| Common Stock | Aug 10, 2018 | M | 12,000 | $22.63 | A | 41,715 | D | |
| Common StockF1 | Aug 10, 2018 | S | 12,000 | $43.3391 | D | 29,715 | D | |
| Common StockF2 | Aug 10, 2018 | S | 25,040 | $43.3312 | D | 4,675 | 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)F3,F4 | $22.63 | Aug 10, 2018 | M | 12,000 | D | Feb 10, 2011 | Feb 10, 2020 | Common Stock | 12,000 | 13,073 | D |
| Stock Option (right to buy)F3,F4 | $18.92 | Aug 10, 2018 | M | 25,040 | D | Jul 17, 2010 | Jul 17, 2019 | Common Stock | 25,040 | 0 | D |
| Restricted Stock UnitsF5 | $0.00 | holding | — | — | — | — | — | Common Stock | 30,914 | 30,914 | D |
| Stock Option (right to buy)F3,F4 | $62.33 | holding | — | — | — | Feb 4, 2015 | Feb 4, 2025 | Common Stock | 19,509 | 19,509 | D |
| Stock Option (right to buy)F6,F4 | $63.49 | holding | — | — | — | Feb 3, 2016 | Feb 3, 2025 | Common Stock | 20,950 | 20,950 | D |
Explanation of responses
- F1The price in Column 4 is a weighted average price. The prices actually received ranged from $43.14 to $43.57. 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.
- F2The price in Column 4 is a weighted average price. The prices actually received ranged from $43.25 to $43.57. 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.
- F3Granted pursuant to the Harley-Davidson, Inc. 2009 Incentive Stock Plan
- F4All options are currently exercisable.
- F5Each restricted stock unit represents a contingent right to receive one share of stock. One-third of the units granted on 2/14/18 vest on each of the first three anniversaries of the date of grant. Units are subject to forfeiture until vested.
- F6Granted pursuant to the Harley-Davidson, Inc. 2014 Incentive Stock Plan