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 of Derivative Security: 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 |
Phantom Units
|
Â
(4)
|
Â
(4)
|
Common Stock
|
276.41
(5)
|
$
0
(6)
|
D
|
Â
|
Employee Stock Option (Right-to-Buy)
|
Â
(7)
|
12/09/2012 |
Common Stock
|
2,342
|
$
13.95
|
D
|
Â
|
Employee Stock Option (Right-to-Buy)
|
Â
(8)
|
12/03/2013 |
Common Stock
|
10,162
|
$
13.65
|
D
|
Â
|
Employee Stock Option (Right-to-Buy)
|
Â
(9)
|
12/02/2014 |
Common Stock
|
12,232
|
$
14.49
|
D
|
Â
|
Employee Stock Option (Right-to-Buy)
|
Â
(10)
|
12/01/2015 |
Common Stock
|
11,184
|
$
16.015
|
D
|
Â
|
Employee Stock Option (Right-to-Buy)
|
Â
(11)
|
12/04/2016 |
Common Stock
|
6,431
|
$
26.79
|
D
|
Â
|
* |
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). |
(1) |
401(k) Plan: This amount includes shares and dividends acquired pursuant to the H.B. Fuller Company Thrift Plan. |
(2) |
2000 Stock Incentive Plan: 5,984 restricted shares were awarded pursuant to H.B. Fuller Company's 2000 Stock Incentive Plan. This amount includes 298 restricted shares that vest in two equal annual installments beginning April 15, 2007; 2,982 restricted shares that vest effective December 2, 2007 and 2,704 restricted shares that vest effective December 1, 2008. Total amount also includes restricted shares acquired pursuant to a dividend accrual feature of the 2000 Stock Incentive Plan. |
(3) |
Amended and Restated 2000 Stock Incentive Plan: 1,666 restricted shares were awarded pursuant to H.B. Fuller Company's Amended and Restated 2000 Stock Incentive Plan. These restricted shares vest effective December 4, 2009. This amount also includes restricted shares acquired pursuant to a dividend accrual feature of the 2000 Stock Incentive Plan. |
(4) |
Deferred Compensation Plan: 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 Deferred Compensation Plan or such earlier date as selected by the participant, subject to holding periods required by law. |
(5) |
Key Employee Deferred Compensation Plan Dividend Reinvestment: This amount (acquired after 12-31-04) includes stock units acquired pursuant to a dividend equivalent feature of the Key Employees Deferred Compensation Plan. |
(6) |
Deferred Compensation Plan: These units (acquired after 12-31-04) convert into shares of common stock on a 1-for-1 basis. |
(7) |
2000 Stock Incentive Plan: This option vested in four equal annual installments beginning on December 9, 2003. |
(8) |
2000 Stock Incentive Plan: This option vests in four equal annual installments beginning on December 3, 2004. |
(9) |
2000 Stock Incentive Plan: This option vests in four equal annual installments beginning on December 2, 2005. |
(10) |
2000 Stock Incentive Plan: This option vests in four equal annual installments beginning on December 1, 2006. |
(11) |
Amended and Restated 2000 Stock Incentive Plan: This option vests in four equal annual installments beginning on December 4, 2007. |