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Home/Filings/4/0000899243-19-001323
4//SEC Filing

BAUN THEODORE W. 4

Accession 0000899243-19-001323

CIK 0001320854other
View on SEC.govCompany Profile

Filed

Jan 15, 7:00 PM ET

Accepted

Jan 16, 7:37 PM ET

Size

21.6 KB

Accession

0000899243-19-001323

Insider Transaction Report

Form 4
Period: 2019-01-14
FreightCar America, Inc.RAIL
BAUN THEODORE W.
SVP Marketing and Sales
Transactions
  • Award

    Employee Stock Option (right to buy)

    2019-01-14+35,750→ 35,750 total
    Exercise: $7.41Exp: 2029-01-14→ Common stock (35,750 underlying)
  • Award

    Common Stock

    2019-01-14+16,543→ 37,071 total
Holdings

  • Employee Stock Option (right to buy)

    Exercise: $29.88Exp: 2021-01-13→ Common stock (10,600 underlying)
    10,600

  • Employee Stock Option (right to buy)

    Exercise: $23.40Exp: 2022-01-12→ Common stock (16,400 underlying)
    16,400

  • Employee Stock Option (right to buy)

    Exercise: $24.56Exp: 2023-01-18→ Common stock (8,300 underlying)
    8,300

  • Employee Stock Option (right to buy)

    Exercise: $17.84Exp: 2019-05-12→ Common stock (1,000 underlying)
    1,000

  • Employee Stock Option (right to buy)

    Exercise: $25.55Exp: 2024-01-15→ Common stock (14,575 underlying)
    14,575

  • Employee Stock Option (right to buy)

    Exercise: $16.66Exp: 2028-01-12→ Common stock (16,182 underlying)
    16,182

  • Employee Stock Option (right to buy)

    Exercise: $20.69Exp: 2020-02-23→ Common stock (7,250 underlying)
    7,250

  • Performance shares

    → Common stock (5,108 underlying)
    5,108

  • Employee Stock Option (right to buy)

    Exercise: $16.66Exp: 2028-01-12→ Common stock (57,794 underlying)
    57,794
Footnotes (15)
  • [F1]Exempt issuance of restricted shares under Rule 16(b)-3 pursuant to the Issuer's 2005 Long Term Incentive Plan. These shares were granted on January 14, 2019 and will vest on January 14, 2022. The restricted shares are subject to certain restrictions (including possible forfeiture)
  • [F10]On January 12, 2012, the recipient was granted 16,400 options which are fully vested and currently exercisable.
  • [F11]On January 13, 2011, the recipient was granted 10,600 options which are fully vested and currently exercisable.
  • [F12]On February 23, 2010, the recipient was granted 7,250 options which are fully vested and currently exercisable.
  • [F13]On May 12, 2009, the recipient was granted 1,000 options which are fully vested and currently exercisable.
  • [F14]Each performance share represents the right to receive, at settlement, one share of common stock subject to the Issuer's achievement of performance goals.
  • [F15]Vesting of these performance shares depends on the Issuer's annual return on invested capital and basic earnings per share from January 1, 2017 through December 31, 2019. The target number of performance shares is reported. Between 0% and 200% of the target number of shares may vest on December 31, 2019, with the vesting percentage determined based on actual performance.
  • [F2]The restricted shares were granted pursuant to the issuer's 2005 Long Term Incentive Plan, for which no consideration was paid by the recipient.
  • [F3]Exempt issuance of options under Rule 16(b)-3 pursuant to the Issuer's 2005 Long Term Incentive Plan
  • [F4]The options vest in three equal annual installments beginning on January 14, 2020.
  • [F5]The options were granted pursuant to the Issuer's 2005 Long Term Incentive Plan, for which no consideration was paid by the recipient.
  • [F6]On January 12, 2018 the recipient was granted 57,794 options. The options vest and become exercisable based on a trailing 90-consecutive calendar day average closing price of one share of the Issuer's common stock (the "Stock Price") in the following proportions, provided the option holder remains continuously employed by the Issuer until the applicable vesting date: 34% of the shares subject to the option vest on the date the Stock Price is equal to or greater than $5.00 per share above the exercise price, an additional 33% of the shares subject to the option vest on the date the Stock Price is equal to or greater than $10.00 per share above the exercise price and the final 33% of the shares subject to the option vest on the date the Stock Price is equal to or greater than $15.00 per share above the exercise price.
  • [F7]On January 12, 2018, the recipient was granted 16,182 options. 5,394 stock options are fully vested and currently exercisable, 5,394 stock options will vest on January 12, 2020 and 5,394 stock options will vest on January 12, 2021.
  • [F8]On January 15, 2014 the recipient was granted 14,575 options which are fully vested and currently exercisable.
  • [F9]On January 18, 2013, the recipient was granted 8,300 options which are fully vested and currently exercisable.

Documents

1 file

Issuer

FreightCar America, Inc.

CIK 0001320854

→
Entity typeother

Related Parties

1
  • filerCIK 0001443910

Filing Metadata

Form type
4
Filed
Jan 15, 7:00 PM ET
Accepted
Jan 16, 7:37 PM ET
Size
21.6 KB
View on SEC.gov