SEC Form 4 · accession 0001209191-18-048977
WESTINGHOUSE AIR BRAKE TECHNOLOGIES CORP · WAB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Raymond T Betler
Officer — President · Director · Other
Period of report
Aug 28, 2018
Accepted (ET)
Aug 30, 2018 · 5:14 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 | May 29, 2018 | G | 2,580 | $0.00 | D | 131,670 | D | |
| Common Stock - Direct | Aug 28, 2018 | M | 7,980 | $48.29 | A | 139,650 | D | |
| Common Stock - Direct | Aug 28, 2018 | F | 5,442 | $110.45 | D | 134,208 | D | |
| Common Stock - Direct | Aug 28, 2018 | M | 10,360 | $35.293 | A | 144,568 | D | |
| Common Stock - Direct | Aug 28, 2018 | F | 6,376 | $110.455 | D | 138,192 | D | |
| Common Stock - Direct | Aug 28, 2018 | M | 13,500 | $28.695 | A | 151,692 | D | |
| Common Stock - Direct | Aug 28, 2018 | F | 7,853 | $110.455 | D | 143,839 | D | |
| Common Stock - Direct | Aug 28, 2018 | M | 12,000 | $19.103 | A | 155,839 | D | |
| Common Stock - Direct | Aug 28, 2018 | F | 6,391 | $110.455 | D | 149,448 | D | |
| Common Stock - Direct | Aug 28, 2018 | M | 24,000 | $14.50 | A | 173,448 | D | |
| Common Stock - Direct | Aug 28, 2018 | F | 12,216 | $110.455 | D | 161,232 | D | |
| Common Stock - Direct | Aug 28, 2018 | M | 9,100 | $72.82 | A | 170,332 | D | |
| Common Stock - Direct | Aug 28, 2018 | F | 7,348 | $110.455 | D | 162,984 | D | |
| Common Stock - Direct | Aug 28, 2018 | M | 8,250 | $87.03 | A | 171,234 | D | |
| Common Stock - Direct | Aug 28, 2018 | F | 7,262 | $110.455 | D | 163,972 | D | |
| Common Stock - Direct | Aug 28, 2018 | M | 8,050 | $61.33 | A | 172,022 | D | |
| Common Stock - Direct | Aug 28, 2018 | F | 6,027 | $110.455 | D | 165,995 | D | |
| Common Stock - Direct | Aug 28, 2018 | M | 2,625 | $87.05 | A | 168,620 | D | |
| Common Stock - Direct | Aug 28, 2018 | F | 2,311 | $110.455 | D | 166,309 | D | |
| Common Stock | holding | — | — | — | 53,494 | I | Trust |
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 OptionF1 | $14.50 | Aug 28, 2018 | M | 24,000 | D | Feb 17, 2013 | Feb 17, 2019 | Common Stock | 24,000 | 0 | D |
| Non-Qualified Stock OptionsF1 | $19.1025 | Aug 28, 2018 | M | 12,000 | D | Mar 1, 2014 | Feb 17, 2020 | Common Stock | 12,000 | 0 | D |
| Non-Qualified Stock OptionF1 | $28.695 | Aug 28, 2018 | M | 13,500 | D | Feb 15, 2015 | Feb 15, 2021 | Common Stock | 13,500 | 0 | D |
| Non-Qualified Stock OptionsF1 | $35.2925 | Aug 28, 2018 | M | 10,360 | D | Feb 14, 2016 | Feb 14, 2022 | Common Stock | 10,360 | 0 | D |
| Non-Qualified Stock OptionF1 | $48.29 | Aug 28, 2018 | M | 7,980 | D | Mar 1, 2017 | Feb 12, 2023 | Common Stock | 7,980 | 0 | D |
| Non-Qualified Stock OptionsF1 | $72.82 | Aug 28, 2018 | M | 9,100 | D | Mar 1, 2018 | Feb 11, 2024 | Common Stock | 9,100 | 0 | D |
| Non-Qualified Stock OptionF1 | $87.03 | Aug 28, 2018 | M | 8,250 | D | Mar 1, 2019 | Feb 10, 2025 | Common Stock | 8,250 | 2,750 | D |
| Non Qualified Stock OptionF1 | $61.33 | Aug 28, 2018 | M | 8,050 | D | Mar 1, 2020 | Feb 9, 2026 | Common Stock | 8,050 | 8,050 | D |
| Non-Qualified Stock OptionF1 | $87.05 | Aug 28, 2018 | M | 2,625 | D | Mar 1, 2021 | Feb 7, 2027 | Common Stock | 2,625 | 7,875 | D |
Explanation of responses
- F1The actual number of shares issued is net of withholding by the Company for the exercise price of the options and taxes.