FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 04/01/2016 |
3. Issuer Name and Ticker or Trading Symbol
FULLER H B CO [ FUL ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 4,748 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right-to-Buy) | (1) | 01/20/2021 | Common Stock | 6,524 | $22.27 | D | |
Employee Stock Option (Right-to-Buy) | (1) | 04/14/2020 | Common Stock | 3,647 | $23.68 | D | |
Employee Stock Option (Right-to-Buy) | (1) | 01/26/2022 | Common Stock | 5,451 | $28.4 | D | |
Employee Stock Option (Right-to-Buy) | (2) | 01/19/2026 | Common Stock | 6,264 | $33.38 | D | |
Employee Stock Option (Right-to-Buy) | (1) | 01/24/2023 | Common Stock | 4,126 | $39.64 | D | |
Employee Stock Option (Right-to-Buy) | (3) | 01/22/2025 | Common Stock | 4,785 | $41 | D | |
Employee Stock Option (Right-to-Buy) | (4) | 01/23/2024 | Common Stock | 4,194 | $48.92 | D | |
Employee Stock Option (Right-to-Buy) | 12/04/2016 | 12/04/2023 | Common Stock | 4,010 | $50.16 | D | |
Restricted Stock Units | (5) | (6) | Common Stock | 718.51(7) | $0.0000(8) | D | |
Restricted Stock Units | (9) | 01/19/2019 | Common Stock | 719.51(7) | $0.0000(8) | D | |
Restricted Stock Units | (10) | 01/22/2018 | Common Stock | 832.16(7) | $0.0000(8) | D | |
Restricted Stock Units | (11) | 01/23/2017 | Common Stock | 464.67(7) | $0.0000(8) | D | |
Restricted Stock Units | (12) | 12/04/2016 | Common Stock | 1,570.56(7) | $0.0000(8) | D |
Explanation of Responses: |
1. Amended and Restated Year 2000 Stock Incentive Plan: This option is 100% vested. |
2. H.B. Fuller Company 2013 Master Incentive Plan: This option vests in three equal installments beginning on January 19, 2017. This option makes up part of the reporting person's fiscal year 2016 long-term incentive plan grant. |
3. H.B. Fuller Company 2013 Master Incentive Plan: This option vests in three equal annual installments beginning on January 22, 2016. |
4. 2013 Master Incentive Plan: This option vests in three equal annual installments beginning on January 23, 2015. |
5. H.B. Fuller Company 2013 Master Incentive Plan: These restricted stock units vest in three annual installments beginning on January 19, 2017 upon H.B. Fuller achieving return on invested capital at least at the threshold level of performance in each year of the three years of vesting. These restricted stock units make up part of the reporting person's fiscal year 2016 long-term incentive plan grant. |
6. These restricted stock units expire on January 19, 2019. |
7. H.B. Fuller Company 2013 Master Incentive Plan: These restricted units include stock units acquired pursuant to a dividend equivalent reinvestment feature of H.B. Fuller Company 2013 Master Incentive Plan. |
8. H.B. Fuller Company 2013 Master Incentive Plan: These restricted stock units convert into shares of common stock on a 1-for-1 basis. |
9. H.B. Fuller Company 2013 Master Incentive Plan: These restricted stock units vest in three equal annual installments beginning on January 19, 2017. These restricted stock units make up part of the reporting person's fiscal year 2016 long-term incentive plan grant. |
10. H.B. Fuller Company 2013 Master Incentive Plan: These restricted stock units vest in three equal annual installments beginning on January 22, 2016. |
11. H.B. Fuller Company 2013 Master Incentive Plan: These restricted stock units vest in three equal annual installments beginning on January 23, 2015. |
12. H.B. Fuller Company 2013 Master Incentive Plan: These restricted stock units vest in full on December 4, 2016. |
/s/ Timothy J. Keenan, Attorney-in-Fact | 04/08/2016 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |