FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
FULLER H B CO [ FUL ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 01/24/2019 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 8,723 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 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: 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 | ||||||||
Employee Stock Option (Right-to-Buy) | $45.05 | 01/24/2019 | A | 15,109 | 01/24/2020(1) | 01/24/2029 | Common Stock | 15,109 | $45.05 | 15,109 | D | ||||
Performance Stock Units | $0.0000(2) | 01/24/2019 | A | 1,621(3) | 01/24/2020(4) | 01/24/2022 | Common Stock | 1,621 | $0.0000(2) | 1,621 | D | ||||
Restricted Stock Units | $0.0000(5) | 01/24/2019 | A | 728 | 01/24/2020(6) | 01/24/2020 | Common Stock | 728 | $0.0000(5) | 728 | D | ||||
Restricted Stock Units | $0.0000(5) | 01/24/2019 | A | 1,621 | 01/24/2020(7) | 01/24/2022 | Common Stock | 1,621 | $0.0000(5) | 1,621 | D | ||||
Employee Stock Option (Right-to-Buy) | $22.27 | 01/20/2012(8) | 01/20/2021 | Common Stock | 6,524 | 6,524 | D | ||||||||
Employee Stock Option (Right-to-Buy) | $23.68 | 04/14/2011(8) | 04/14/2020 | Common Stock | 3,647 | 3,647 | D | ||||||||
Employee Stock Option (Right-to-Buy) | $28.4 | 01/26/2013(8) | 01/26/2022 | Common Stock | 5,451 | 5,451 | D | ||||||||
Employee Stock Option (Right-to-Buy) | $33.38 | 01/19/2017(8) | 01/19/2026 | Common Stock | 6,264 | 6,264 | D | ||||||||
Employee Stock Option (Right-to-Buy) | $39.64 | 01/24/2014(8) | 01/24/2023 | Common Stock | 4,126 | 4,126 | D | ||||||||
Employee Stock Option (Right-to-Buy) | $41 | 01/22/2016(8) | 01/22/2025 | Common Stock | 4,785 | 4,785 | D | ||||||||
Employee Stock Option (Right-to-Buy) | $43.16 | 04/06/2017(1) | 04/06/2026 | Common Stock | 7,706 | 7,706 | D | ||||||||
Employee Stock Option (Right-to-Buy) | $48.92 | 01/23/2015(8) | 01/23/2024 | Common Stock | 4,194 | 4,194 | D | ||||||||
Employee Stock Option (Right-to-Buy) | $50.1 | 01/26/2018(1) | 01/26/2027 | Common Stock | 13,033 | 13,033 | D | ||||||||
Employee Stock Option (Right-to-Buy) | $50.16 | 12/04/2016(1) | 12/04/2023 | Common Stock | 4,010 | 4,010 | D | ||||||||
Employee Stock Option (Right-to-Buy) | $53.57 | 01/25/2019(1) | 01/25/2028 | Common Stock | 12,008 | 12,008 | D | ||||||||
Performance Stock Option (Right-to-Buy) | $57.7 | 01/31/2021(9) | 10/20/2027 | Common Stock | 34,403 | 34,403 | D | ||||||||
Performance Stock Units | $0.0000(2) | 01/25/2019(4) | 01/25/2021 | Common Stock | 1,279.54 | 1,279.54(10) | D | ||||||||
Performance Stock Units | $0.0000(2) | 01/26/2018(4) | 01/26/2020 | Common Stock | 958.26 | 958.26(11) | D | ||||||||
Performance Stock Units | $0.0000(2) | 04/06/2017(4) | 04/06/2019 | Common Stock | 312.3 | 312.3(11) | D | ||||||||
Phantom Units | $0.0000(12) | (13) | (13) | Common Stock | 767.55 | 767.55(14) | D | ||||||||
Restricted Stock Units | $0.0000(5) | 01/25/2019(7) | 01/25/2021 | Common Stock | 1,280.54 | 1,280.54(15) | D | ||||||||
Restricted Stock Units | $0.0000(5) | 01/26/2018(7) | 01/26/2020 | Common Stock | 1,887.73 | 1,887.73(15) | D | ||||||||
Restricted Stock Units | $0.0000(5) | 04/06/2017(7) | 04/06/2019 | Common Stock | 311.52 | 311.52(15) | D |
Explanation of Responses: |
1. This option vests in three equal annual installments beginning on the date shown. |
2. These performance stock units convert into shares of common stock on a 1-for-1 basis. |
3. Each performance stock unit represents a contingent right to receive one share of H.B. Fuller common stock. Prior to vesting, the number of units subject to the award will be adjusted based on the company's return on invested capital performance for the applicable year. The number of units may increase to as much as 200% or decrease as low as 0% of the initial number of units depending on the level of ROIC performance. The grant amount is shown at a target level of performance. |
4. These performance stock units vest in three equal annual installments beginning on the date shown 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. |
5. These restricted stock units convert into shares of common stock on a 1-for-1 basis. |
6. These restricted stock units vest in one annual installment on the date shown. |
7. These restricted stock units vest in three equal annual installments beginning on the date shown. |
8. This option is 100% vested. |
9. These performance-based non-qualified stock options vest on the date shown contingent upon H.B. Fuller achieving adjusted EBITDA at least at the threshold level of performance. |
10. Amount includes performance stock units acquired pursuant to a dividend equivalent reinvestment feature. |
11. This amount has been adjusted to reflect the increase in number of performance stock units of the original grant based on performance criteria. Amount also includes performance stock units acquired pursuant to a dividend equivalent reinvestment feature. |
12. These units (acquired after 12-31-04) convert into shares of common stock on a 1-for-1 basis. |
13. These units (acquired after 12-31-04) convert into shares of common stock upon the earlier of certain termination events as specified in the Key Employee DeferredCompensation Plan or such earlier date as selected by the participant, subject to holding periods required by law. |
14. Amount includes stock units acquired pursuant to a dividend equivalent feature. |
15. Amount includes restricted stock units acquired pursuant to a dividend equivalent reinvestment feature. |
/s/ Timothy J. Keenan, Attorney-in-Fact | 01/28/2019 | |
** 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 4 (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. |