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Owens James – ‘4’ for 1/25/20 re: Fuller H B Co.

On:  Tuesday, 1/28/20, at 1:23pm ET   ·   For:  1/25/20   ·   Accession #:  1225208-20-1221   ·   File #:  1-09225

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 1/28/20  Owens James                       4                      1:27K  Fuller H B Co.                    CT’s hCue/FA

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML      3K 
                Securities by an Insider -- doc4.xml/3.6                         




        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 

 
SEC Info rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
FORM 4UNITED 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
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
  
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*
Owens James

(Last)(First)(Middle)
1200 WILLOW LAKE BOULEVARD
P.O. BOX 64683

(Street)
ST. PAULMN55164-0683

(City)(State)(Zip)
2. Issuer Name and Ticker or Trading Symbol
FULLER H B CO [ FUL ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
XOfficer (give title below) Other (specify below)
President and CEO
3. Date of Earliest Transaction (Month/Day/Year)
1/25/20
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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)
CodeVAmount(A) or (D)Price
Common Stock 1/25/20 M 5,238A$48.35208,353.776D
Common Stock 1/25/20 M 4,058A$48.35212,411.776D
Common Stock 1/25/20 F 1,851 (1)D$48.35210,560.776D
Common Stock 1/25/20 F 2,269 (2)D$48.35208,291.776D
Common Stock 1/26/20 M 9,144A$48.35217,435.776D
Common Stock 1/26/20 F 3,955 (3)D$48.35213,480.776D
Common Stock 354.83 (4)IBy 401(k) Plan
Common Stock 280IBy Son (5)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Performance Stock Units$0.0000 (6) 1/25/20 M 4,058 1/25/19 (7) 1/25/21Common Stock4,058$48.355,393.1 (8)D
Performance Stock Units (CEO)$0.0000 (6) 1/25/20 M 5,238 1/25/19 (9) 1/25/21Common Stock5,238$48.355,397.11 (10)D
Performance Stock Units (CEO)$0.0000 (6) 1/26/20 M 9,144 1/26/18 (9) 1/26/20Common Stock9,144$48.350.0000D
Employee Stock Option (Right-to-Buy)$22.27 1/20/12 (11) 1/20/21Common Stock48,331 48,331D
Employee Stock Option (Right-to-Buy)$25.19 7/7/12 (11) 7/7/21Common Stock15,748 15,748D
Employee Stock Option (Right-to-Buy)$28.4 1/26/13 (11) 1/26/22Common Stock77,881 77,881D
Employee Stock Option (Right-to-Buy)$33.38 1/19/17 (11) 1/19/26Common Stock182,039 182,039D
Employee Stock Option (Right-to-Buy)$39.64 1/24/14 (11) 1/24/23Common Stock80,697 80,697D
Employee Stock Option (Right-to-Buy)$41 1/22/16 (11) 1/22/25Common Stock112,727 112,727D
Employee Stock Option (Right-to-Buy)$45.04 1/24/20 (12) 1/24/29Common Stock226,403 226,403D
Employee Stock Option (Right-to-Buy)$48.35 1/24/21 (12) 1/24/30Common Stock238,872 238,872D
Employee Stock Option (Right-to-Buy)$48.92 1/23/15 (11) 1/23/24Common Stock79,061 79,061D
Employee Stock Option (Right-to-Buy)$50.1 1/26/18 (11) 1/26/27Common Stock151,826 151,826D
Employee Stock Option (Right-to-Buy)$53.57 1/25/19 (12) 1/25/28Common Stock146,887 146,887D
Performance Stock Option (Right-to-Buy)$57.7 1/31/21 (13) 10/20/27Common Stock289,684 289,684D
Performance Stock Units$0.0000 (6) 1/24/20 (7) 1/24/22Common Stock16,491.92 16,491.92 (10)D
Performance Stock Units (CEO)$0.0000 (6) 1/24/20 (9) 1/24/22Common Stock16,492.92 16,492.92 (10)D
Explanation of Responses:
(1)  Shares withheld for taxes due on 4,058 shares issued.
(2)  Shares withheld for taxes due on 5,238 shares issued.
(3)  Shares withheld for taxes due on 9,144 shares issued.
(4)  This amount includes shares and dividends acquired pursuant to the H.B.Fuller Company 401(k) & Retirement Plan.
(5)  Held jointly by spouse and son.
(6)  These performance stock units convert into shares of common stock on a 1-for-1 basis.
(7)  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.
(8)  This amount has been adjusted to reflect the decrease in number of performance stock units of the original grant based on performance criteria. Amount includes performance stock units acquired pursuant to a dividend equivalent reinvestment feature.
(9)  These performance stock units vest in three equal annual installments beginning on the date shown, subject to one or more performance measures being achieved.
(10)  Amount includes performance stock units acquired pursuant to a dividend equivalent reinvestment feature.
(11)  This option is 100% vested.
(12)  This option vests in three equal annual installments beginning on the date shown.
(13)  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.
/s/ Timothy J. Keenan, Attorney-in-Fact 1/28/20
** Signature of Reporting PersonDate
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.
____________
Transaction Codes:
    F    Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3.
    M    Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.

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