SEC Form 4 · accession 0001209191-15-068732
WESTINGHOUSE AIR BRAKE TECHNOLOGIES CORP · WAB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick D Dugan
Officer — Sr. VP, Chief Financal Officer
Period of report
Aug 28, 2015
Accepted (ET)
Sep 1, 2015 · 8:45 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000943452
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock - Direct | Aug 28, 2015 | M | 3,780 | $35.293 | A | 46,638 | D | |
| Common Stock - Direct | Aug 28, 2015 | M | 4,500 | $19.103 | A | 51,138 | D | |
| Common Stock - Direct | Aug 28, 2015 | M | 5,250 | $28.695 | A | 56,388 | D | |
| Common Stock - DirectF1 | Aug 28, 2015 | S | 13,530 | $96.6734 | D | 42,858 | D | |
| Common Stock - 401k | holding | — | — | — | 30 | I | 401K |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Options | $19.1025 | Aug 28, 2015 | M | 4,500 | D | Mar 1, 2014 | Feb 17, 2020 | Common Stock | 4,500 | 0 | D |
| Non-Qualified Stock Option | $28.695 | Aug 28, 2015 | M | 5,250 | D | Feb 15, 2015 | Feb 15, 2021 | Common Stock | 5,250 | 0 | D |
| Non-Qualified Stock Options | $35.2925 | Aug 28, 2015 | M | 3,780 | D | Feb 14, 2016 | Feb 14, 2022 | Common Stock | 3,780 | 1,260 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. The reporting person undertakes to provide to Westinghouse Air Brake Technologies Corporation ("Wabtec"), any security holder of Wabtec, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.