SEC Form 5 · accession 0000899243-17-007157
FreightCar America, Inc. · RAIL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph J Maliekel
Officer — VP, Corp Controller and PAO
Period of report
Dec 31, 2016
Accepted (ET)
Mar 10, 2017 · 4:26 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001320854
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 26, 2015 | L | 5 | $19.4007 | A | 8,392 | D | |
| Common Stock | Nov 25, 2015 | L | 4 | $24.17 | A | 8,395 | D | |
| Common Stock | Feb 24, 2016 | L | 6 | $15.9603 | A | 8,401 | D | |
| Common Stock | May 25, 2016 | L | 6 | $14.4621 | A | 8,407 | D | |
| Common Stock | Aug 24, 2016 | L | 6 | $14.9707 | A | 8,414 | D | |
| Common Stock | Nov 23, 2016 | L | 6 | $14.9911 | A | 8,420 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $25.55 | holding | — | — | — | — | Jan 15, 2024 | Common Stock | 9,825 | 9,825 | D |
| Employee Stock Option (right to buy)F3 | $24.56 | holding | — | — | — | — | Jan 18, 2023 | Common Stock | 5,000 | 5,000 | D |
Explanation of responses
- F1FreightCar America, Inc. dividends reinvested through open market purchase.
- F2On January 15, 2014 the recipient was granted 9,825 options which are fully vested and currently exercisable.
- F3On January 18, 2013 the recipient was granted 5,000 options which are fully vested and currently exercisable.