Statement of Changes in Beneficial Ownership (4)
August 11 2020 - 4:11PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Thomas James Darrell |
2. Issuer Name and Ticker or Trading Symbol
HARLEY-DAVIDSON, INC.
[
HOG
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) VP - Interim CFO and Treasurer |
(Last)
(First)
(Middle)
HARLEY-DAVIDSON, INC., 3700 WEST JUNEAU AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/7/2020 |
(Street)
MILWAUKEE, WI 53208
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 8/7/2020 | | M | | 2228.0000 | A | $24.0100 | 23772.0000 | D | |
Common Stock | 8/7/2020 | | S | | 2228.0000 | D | $25.8600 | 21544.0000 | D | |
Common Stock | | | | | | | | 1441.0000 | I | By 401(k) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (right to buy) (1) | $24.0100 | 8/7/2020 | | M | | | 2228.0000 | 8/26/2011 (2) | 8/26/2020 | Common Stock | 2228.0000 | $24.0100 | 0.0000 | D | |
Restricted Stock Units | $0.0000 | | | | | | | 2/1/2020 (3) | 2/1/2022 (3) | Common Stock | 2831.0000 | | 2831.0000 | D | |
Restricted Stock Units | $0.0000 | | | | | | | 2/2/2019 (4) | 2/2/2021 (4) | Common Stock | 1062.0000 | | 1062.0000 | D | |
Restricted Stock Units | $0.0000 | | | | | | | 2/5/2021 (5) | 2/5/2023 (5) | Common Stock | 4403.0000 | | 4403.0000 | D | |
Restricted Stock Units | $0.0000 | | | | | | | 8/1/2021 (6) | 8/1/2022 (6) | Common Stock | 7000.0000 | | 7000.0000 | D | |
Stock Option (right to buy) (1) | $41.3300 | | | | | | | 2/9/2012 (2) | 2/9/2021 | Common Stock | 5884.0000 | | 5884.0000 | D | |
Stock Option (right to buy) (1) | $45.3200 | | | | | | | 2/6/2013 (2) | 2/6/2022 | Common Stock | 6049.0000 | | 6049.0000 | D | |
Stock Option (right to buy) (1) | $51.7800 | | | | | | | 2/4/2014 (2) | 2/4/2023 | Common Stock | 5541.0000 | | 5541.0000 | D | |
Stock Option (right to buy) (7) | $62.3300 | | | | | | | 2/4/2015 (2) | 2/4/2024 | Common Stock | 4963.0000 | | 4963.0000 | D | |
Stock Option (right to buy) (7) | $63.4900 | | | | | | | 2/3/2016 (2) | 2/3/2025 | Common Stock | 5376.0000 | | 5376.0000 | D | |
Explanation of Responses: |
(1) | Granted pursuant to the Harley-Davidson, Inc. 2009 Incentive Stock Plan. |
(2) | All options are currently exercisable. |
(3) | On February 1, 2019, the Reporting Person was granted 4,246 restricted stock units vesting with respect to 1,415 shares on February 1, 2020 and February 1, 2021, and 1,416 shares on February 1, 2022. |
(4) | On February 2, 2018, the Reporting Person was granted 3,184 restricted stock units vesting with respect to 1,061 shares on February 2, 2019 and February 2, 2020, and 1,062 shares on February 2, 2021. |
(5) | On February 5, 2020, the Reporting Person was granted 4,403 restricted stock units vesting with respect to 1,467 shares on February 5, 2021, and 1,468 shares on February 5, 2020 and February 5, 2023. |
(6) | On August 1, 2019, the Reporting Person was granted 7,000 restricted stock units vesting with respect to 3,500 shares on August 1, 2021 and August 1, 2022. |
(7) | Granted pursuant to the Harley-Davidson, Inc. 2014 Incentive Stock Plan. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Thomas James Darrell HARLEY-DAVIDSON, INC. 3700 WEST JUNEAU AVENUE MILWAUKEE, WI 53208 |
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| VP - Interim CFO and Treasurer |
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Signatures
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/s/ Paul J. Krause, as Power of Attorney | | 8/11/2020 |
**Signature of Reporting Person | Date |
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