SEC Form 4 · accession 0001144204-17-054135
WABCO Holdings Inc. · WBC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jacques Esculier
Officer — Chairman of the Board and CEO · Director
Period of report
Oct 23, 2017
Accepted (ET)
Oct 25, 2017 · 4:54 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001390844
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 23, 2017 | M | 34,061 | $59.26 | A | 312,079 | D | |
| Common StockF1 | Oct 23, 2017 | S | 44,191 | $151.77 | D | 267,888 | D | |
| Common StockF2 | Oct 23, 2017 | S | 30,468 | $152.77 | D | 237,420 | D | |
| Common StockF3 | Oct 23, 2017 | S | 19,402 | $153.52 | D | 218,018 | D | |
| Common Stock | Oct 24, 2017 | M | 5,155 | $59.26 | A | 223,173 | D | |
| Common Stock | Oct 24, 2017 | M | 43,178 | $58.85 | A | 266,351 | D | |
| Common StockF4 | Oct 24, 2017 | S | 61,565 | $149.61 | D | 204,786 | D | |
| Common StockF5 | Oct 24, 2017 | S | 15,175 | $150.19 | D | 189,611 | D | |
| Common Stock | Oct 24, 2017 | S | 1,593 | $153.00 | D | 188,018 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F6 | $59.26 | Oct 23, 2017 | M | 34,061 | D | — | Feb 23, 2021 | Common Stock | 34,061 | 5,155 | D |
| Stock Option (Right to Buy)F6 | $59.26 | Oct 24, 2017 | M | 5,155 | D | — | Feb 23, 2021 | Common Stock | 5,155 | 0 | D |
| Stock Option (Right to Buy)F7 | $58.85 | Oct 24, 2017 | M | 43,178 | D | — | Feb 24, 2022 | Common Stock | 43,178 | 0 | D |
Explanation of responses
- F1The transaction reported herein includes sales at a range of prices from $151.27 to $152.265. The reporting person undertakes to provide on request detailed breakouts in order that the SEC Staff, the issuer or any security holder of the issuer can receive full information regarding the number of shares sold at each separate price.
- F2The transaction reported herein includes sales at a range of prices from $152.27 to $153.26. The reporting person undertakes to provide on request detailed breakouts in order that the SEC Staff, the issuer or any security holder of the issuer can receive full information regarding the number of shares sold at each separate price.
- F3The transaction reported herein includes sales at a range of prices from $153.28 to $154.10. The reporting person undertakes to provide on request detailed breakouts in order that the SEC Staff, the issuer or any security holder of the issuer can receive full information regarding the number of shares sold at each separate price.
- F4The transaction reported herein includes sales at a range of prices from $149.01 to $150.00. The reporting person undertakes to provide on request detailed breakouts in order that the SEC Staff, the issuer or any security holder of the issuer can receive full information regarding the number of shares sold at each separate price.
- F5The transaction reported herein includes sales at a range of prices from $150.01 to $150.78. The reporting person undertakes to provide on request detailed breakouts in order that the SEC Staff, the issuer or any security holder of the issuer can receive full information regarding the number of shares sold at each separate price.
- F6Stock options vested in three equal installments. The first installment vested on February 22, 2012, the second installment vested on February 22, 2013, and the third installment vested on February 22, 2014.
- F7Stock options vested in three equal installments. The first installment vested on February 14, 2013, the second installment vested on February 14, 2014, and the third installment vested on February 14, 2015.