SEC Form 4 · accession 0001209191-17-028876
WESTINGHOUSE AIR BRAKE TECHNOLOGIES CORP · WAB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Albert J Neupaver
Officer — Executive Chairman · Director
Period of report
Apr 27, 2017
Accepted (ET)
May 1, 2017 · 12:26 pm 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 | Apr 27, 2017 | M | 46,062 | $17.425 | A | 659,630 | D | |
| Common Stock - DirectF1 | Apr 27, 2017 | S | 46,062 | $84.8883 | D | 613,568 | D | |
| Common Stock - Direct | Apr 28, 2017 | M | 13,938 | $17.425 | A | 627,506 | D | |
| Common Stock - DirectF1 | Apr 28, 2017 | S | 13,838 | $83.9282 | D | 613,668 | D | |
| Common Stock - Direct | Apr 28, 2017 | S | 100 | $84.55 | D | 613,568 | D |
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 | $17.425 | Apr 27, 2017 | M | 46,062 | D | Feb 20, 2012 | Feb 20, 2018 | Common Stock | 0 | 53,938 | D |
| Non-Qualified Stock Options | $17.425 | Apr 28, 2017 | M | 13,938 | D | Feb 20, 2012 | Feb 20, 2018 | Common Stock | 0 | 40,000 | D |
Explanation of responses
- F1The price reported in Column 4 is an average price. These shares were sold in multiple transactions at prices within $1.00. 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 within the range set forth in footnote (1) to this Form 4.