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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Harley Davidson Inc | NYSE:HOG | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.49 | 1.41% | 35.18 | 35.475 | 34.71 | 35.03 | 1,741,647 | 01:00:00 |
[X]
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ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934: For the fiscal year ended December 31, 2016.
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[ ]
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TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934: For the transition period from ______ to _________.
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A.
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Full title of the plan and the address of the plan, if different from that of the issuer named below:
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B.
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Name of issuer of the securities held pursuant to the plan and the address of its principal executive office:
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1.
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Not applicable.
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2.
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Not applicable.
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3.
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Not applicable.
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4.
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The Harley-Davidson Financial Services, Inc. 401(k) Profit Sharing Plan (the “Plan”) is subject to the requirements of the Employee Retirement Income Security Act of 1974 (ERISA). Attached hereto are copies of the most recent financial statements and schedule of the Plan prepared in accordance with the financial reporting requirements of ERISA.
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23
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Consent of Independent Registered Public Accounting Firm
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Harley-Davidson Financial Services, Inc.
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401(k) Profit Sharing Plan
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Date: June 21, 2017
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By:
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/s/ Ryan Green
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Ryan Green
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Administrative Committee Member
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Report of Independent Registered Public Accounting Firm
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1
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Audited Financial Statements
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Statements of Net Assets Available for Benefits
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2
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Statement of Changes in Net Assets Available for Benefits
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3
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Notes to Financial Statements
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4
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Supplemental Schedule
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Schedule H, Line 4i – Schedule of Assets (Held at End of Year)
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16
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1
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December 31,
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||||||
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2016
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2015
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Assets:
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Investments, at fair value
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$
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56,127,460
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$
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50,776,415
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Investment in Harley-Davidson Retirement Savings Plan Master Trust
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370,491
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281,124
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Total investments
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56,497,951
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51,057,539
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Receivables:
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Participant contributions
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85,689
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99,741
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Company contributions
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291,244
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216,790
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Notes receivable from participants
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1,025,413
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1,062,422
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Total receivables
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1,402,346
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1,378,953
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Net assets available for benefits
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$
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57,900,297
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$
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52,436,492
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See accompanying notes to financial statements.
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2
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3
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4
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5
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6
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7
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2016
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2015
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Investments at fair value:
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Mutual Funds
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$
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222,770,014
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$
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265,421,163
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Common collective trust funds
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387,615,220
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318,875,209
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Brokerage accounts
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21,374,339
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18,647,885
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Money market fund
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66,324,502
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56,581,219
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Harley-Davidson, Inc. Common Stock Fund
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135,161,030
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120,974,800
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Net assets of the Master Trust
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$
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833,245,105
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$
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780,500,276
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2016
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2015
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Interest and dividend income
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$
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11,389,283
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$
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19,881,253
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Net appreciation (depreciation) in fair value of investments
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69,873,023
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(76,669,772
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)
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Investment income (loss) of the Master Trust
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$
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81,262,306
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$
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(56,788,519
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)
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2016
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2015
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Harley-Davidson, Inc. common stock
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$
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134,226,572
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$
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119,745,629
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Money market fund
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1,043,943
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1,571,195
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Other payable
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(109,485)
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(342,024)
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Net assets of the Harley-Davidson, Inc. Common Stock Fund
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$
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135,161,030
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$
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120,974,800
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8
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•
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Quoted prices for similar assets and liabilities in active markets
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•
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Quoted prices for identical or similar assets or liabilities in markets that are not active
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•
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Observable inputs other than quoted prices that are used in the valuation of the asset or liabilities (e.g., interest rate and yield curve quotes at commonly quoted intervals)
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•
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Inputs that are derived principally from or corroborated by observable market data by correlation or other means
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9
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10
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Assets at Fair Value as of December 31, 2016
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Level 1
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Level 2
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Level 3
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Total
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Mutual funds
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$
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21,345,208
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$
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—
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$
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—
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$
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21,345,208
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Brokerage accounts
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1,027,113
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—
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—
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1,027,113
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Money market fund
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3,874,046
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—
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—
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3,874,046
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$
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26,246,367
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$
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—
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$
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—
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$
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26,246,367
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Common collective trusts measured at net asset value as a practical expedient:
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Life cycle funds
(a)
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10,509,017
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Index funds
(b)
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17,802,205
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Emerging market fund
(c)
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211,039
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Fixed income fund
(d)
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306,695
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Mid-cap value fund
(e)
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560,942
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Small-cap blend fund
(f)
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491,195
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Total assets at fair value
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$
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56,127,460
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Assets at Fair Value as of December 31, 2015
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Level 1
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Level 2
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Level 3
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Total
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Mutual funds
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$
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24,399,495
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$
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—
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$
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—
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$
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24,399,495
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Brokerage accounts
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804,088
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—
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—
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804,088
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$
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25,203,583
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$
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—
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$
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—
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$
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25,203,583
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Common collective trusts measured at net asset value as a practical expedient:
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Life cycle funds
(a)
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8,747,222
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Index funds
(b)
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16,061,303
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Emerging market fund
(c)
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119,246
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Fixed income fund
(d)
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244,469
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Mid-cap value fund
(e)
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400,592
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Total assets at fair value
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$
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50,776,415
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11
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Assets at Fair Value as of December 31, 2016
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Level 1
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Level 2
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Level 3
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Total
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Mutual funds
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$
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222,770,014
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$
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—
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$
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—
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$
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222,770,014
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Brokerage accounts
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21,374,339
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—
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—
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21,374,339
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Money market fund
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66,324,502
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—
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—
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66,324,502
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Harley-Davidson Inc. Common Stock Fund
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135,161,030
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—
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—
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135,161,030
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$
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445,629,885
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$
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—
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$
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—
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$
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445,629,885
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||||||||
Common collective trusts measured at net asset value as a practical expedient:
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Life cycle funds
(a)
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234,827,322
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Index funds
(b)
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104,243,611
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Emerging market fund
(c)
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3,273,894
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Fixed income fund
(d)
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5,375,217
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Mid-cap value fund
(e)
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12,585,530
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Small-cap blend fund
(f)
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27,309,646
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Total assets at fair value
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$
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833,245,105
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Assets at Fair Value as of December 31, 2015
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Level 1
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Level 2
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Level 3
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Total
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Mutual funds
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$
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265,421,163
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$
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—
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$
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—
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$
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265,421,163
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Brokerage accounts
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18,647,885
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—
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—
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18,647,885
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Money market fund
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56,581,219
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—
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—
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56,581,219
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Harley-Davidson Inc. Common Stock Fund
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120,974,800
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—
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—
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120,974,800
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$
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461,625,067
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$
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—
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$
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—
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$
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461,625,067
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Common collective trusts measured at net asset value as a practical expedient:
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Life cycle funds
(a)
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209,197,971
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Index funds
(b)
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94,790,039
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Emerging market fund
(c)
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1,955,097
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Fixed income fund
(d)
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4,376,801
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Mid-cap value fund
(e)
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8,555,301
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Total assets at fair value
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$
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780,500,276
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12
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(a)
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This category of funds includes investments that are broadly diversified across global asset classes designed to remain appropriate based on a targeted retirement date. These common/collective trust funds share the common goal of gradually becoming more conservative over time. There are currently no redemption restrictions on these collective trusts.
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(b)
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The investment strategy of these funds is to approximate the risk and return characteristics of an underlying index. There are currently no redemption restrictions on these collective trusts.
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(c)
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The investment strategy of this fund is to seek exposure to emerging market equities with less volatility and less concentration risk. The strategy emphasizes broad exposure and diversification among countries, economic sectors and individual issuers. There are currently no redemption restrictions on this collective trust.
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(d)
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This category of funds includes investments in fixed income U.S. Treasury Inflation-Protected Securities that provide a guaranteed return of principal linked to the rate of U.S. inflation. There are currently no redemption restrictions on this collective trust.
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(e)
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The investment strategy of this fund is to seek a value-oriented portfolio with an emphasis on dividends and valuation. Underlying investments include equities. There are currently no redemption restrictions on this collective trust.
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(f)
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The investment strategy of this fund is to seek stocks that are attractively valued and have improving business prospects, but also control exposure to risk factors that could cause volatility. Underlying investments include equities. There are currently no redemption restrictions on this collective trust.
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13
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14
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15
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16
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17
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1 Year Harley Davidson Chart |
1 Month Harley Davidson Chart |
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