SEC Form 4 · accession 0001209191-18-044359
WESTINGHOUSE AIR BRAKE TECHNOLOGIES CORP · WAB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick D Dugan
Officer — EVP & Chief Financial Officer
Period of report
Jul 26, 2018
Accepted (ET)
Jul 30, 2018 · 3:58 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 | Jul 26, 2018 | M | 1,260 | $35.293 | A | 76,555 | D | |
| Common Stock - Direct | Jul 26, 2018 | M | 3,920 | $48.29 | A | 80,475 | D | |
| Common Stock - Direct | Jul 26, 2018 | M | 3,150 | $72.82 | A | 83,625 | D | |
| Common Stock - Direct | Jul 26, 2018 | M | 2,625 | $87.03 | A | 86,250 | D | |
| Common Stock - Direct | Jul 26, 2018 | M | 2,100 | $61.33 | A | 88,350 | D | |
| Common Stock - Direct | Jul 26, 2018 | M | 1,225 | $87.05 | A | 89,575 | D | |
| Common Stock - DirectF1 | Jul 26, 2018 | S | 13,580 | $109.74 | D | 75,995 | D | |
| Common Stock - DirectF2 | Jul 26, 2018 | S | 700 | $110.29 | D | 75,295 | D | |
| Common Stock - Direct | Jul 26, 2018 | S | 7,000 | $109.0827 | D | 68,295 | 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 | $35.2925 | Jul 26, 2018 | M | 1,260 | D | Feb 14, 2016 | Feb 14, 2022 | Common Stock | 1,260 | 0 | D |
| Non-Qualified Stock Option | $48.29 | Jul 26, 2018 | M | 3,920 | D | Mar 1, 2017 | Feb 12, 2023 | Common Stock | 3,920 | 0 | D |
| Non-Qualified Stock Options | $72.82 | Jul 26, 2018 | M | 3,150 | D | Mar 1, 2018 | Feb 11, 2024 | Common Stock | 3,150 | 0 | D |
| Non-Qualified Stock Option | $87.03 | Jul 26, 2018 | M | 2,625 | D | Mar 1, 2019 | Feb 10, 2025 | Common Stock | 2,625 | 875 | D |
| Non Qualified Stock Option | $61.33 | Jul 26, 2018 | M | 2,100 | D | Mar 1, 2020 | Feb 9, 2026 | Common Stock | 2,100 | 2,100 | D |
| Non-Qualified Stock Option | $87.05 | Jul 26, 2018 | M | 1,225 | D | Mar 1, 2021 | Feb 7, 2027 | Common Stock | 1,225 | 3,675 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within $1.00 at a prices ranging from $109.13 to $110.09 inclusive. 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.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within $1.00 at a prices ranging from $110.15 to $110.45 inclusive. 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 (2) to this Form 4.