SEC Form 4 · accession 0000899243-18-001049
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
Jan 12, 2018
Accepted (ET)
Jan 16, 2018 · 1:26 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 StockF2 | Jan 12, 2018 | A | 3,654 | $0.00 | A | 13,574 | 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)F5,F4 | $16.66 | Jan 12, 2018 | A | 3,447 | A | — | Jan 12, 2028 | Common stock | 3,447 | 3,447 | D |
| Employee Stock Option (right to buy)F6 | $25.55 | holding | — | — | — | — | Jan 15, 2024 | Common Stock | 9,825 | 9,825 | D |
| Employee Stock Option (right to buy)F7 | $24.56 | holding | — | — | — | — | Jan 18, 2023 | Common Stock | 5,000 | 5,000 | D |
Explanation of responses
- F1Exempt 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 12, 2018 and will vest on January 12, 2021. The restricted shares are subject to certain restrictions (including possible forfeiture)
- F2The restricted shares were granted pursuant to the issuer's 2005 Long Term Incentive Plan, for which no consideration was paid by the recipient.
- F3Exempt issuance of options under Rule 16(b)-3 pursuant to the Issuer's 2005 Long Term Incentive Plan
- F4The options vest in three equal annual installments beginning on January 12, 2019.
- F5The options were granted pursuant to the Issuer's 2005 Long Term Incentive Plan, for which no consideration was paid by the recipient.
- F6On January 15, 2014 the recipient was granted 9,825 options which are fully vested and currently exercisable.
- F7On January 18, 2013 the recipient was granted 5,000 options which are fully vested and currently exercisable.