Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| FreightCar America, Inc.RAIL · Entity 6251 | Chief Commercial Officer | January 22, 2019 | January 23, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
FreightCar America, Inc.
Report date January 22, 2019 · Filed January 23, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 35,303 |
Reported balance
After 2019-01-22 transaction · row 1
1 source rowRow 1 · 2019-01-22 · Tax withholding · Disposed 1,768 · Balance 35,303 F1: Represents the exercise of a tax withholding right in connection with the vesting of 5,108 restricted shares that were issued in an exempt issuance pursuant to Rule 16b-3 under the Issuer's 2005 Long Term Incentive Plan. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.41 · Expires 2029-01-14 | Direct | 35,750 |
Reported balance
Holding disclosure · report date 2019-01-22 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 35,750 F2: On January 14, 2019 the recipient was granted 35,750 options which will vest in three equal annual installments beginning on January 14, 2020. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.66 · Expires 2028-01-12 | Direct | 57,794 |
Reported balance
Holding disclosure · report date 2019-01-22 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 57,794 F3: On January 12, 2018 the recipient was granted 57,794 options. The options vest and become exercisable based on a trailing 90-consecutive calendar day average closing price of one share of the Issuer's common stock (the "Stock Price") in the following proportions, provided the option holder remains continuously employed by the Issuer until the applicable vesting date: 34% of the shares subject to the option vest on the date the Stock Price is equal to or greater than $5.00 per share above the exercise price, an additional 33% of the shares subject to the option vest on the date the Stock Price is equal to or greater than $10.00 per share above the exercise price and the final 33% of the shares subject to the option vest on the date the Stock Price is equal to or greater than $15.00 per share above the exercise price. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.66 · Expires 2028-01-12 | Direct | 16,182 |
Reported balance
Holding disclosure · report date 2019-01-22 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 16,182 F4: On January 12, 2018, the recipient was granted 16,182 options. 5,394 stock options are fully vested and currently exercisable, 5,394 stock options will vest on January 12, 2020 and 5,394 stock options will vest on January 12, 2021. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $25.55 · Expires 2024-01-15 | Direct | 14,575 |
Reported balance
Holding disclosure · report date 2019-01-22 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 14,575 F5: On January 15, 2014 the recipient was granted 14,575 options which are fully vested and currently exercisable. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $24.56 · Expires 2023-01-18 | Direct | 8,300 |
Reported balance
Holding disclosure · report date 2019-01-22 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 8,300 F6: On January 18, 2013, the recipient was granted 8,300 options which are fully vested and currently exercisable. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $23.40 · Expires 2022-01-12 | Direct | 16,400 |
Reported balance
Holding disclosure · report date 2019-01-22 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 16,400 F7: On January 12, 2012, the recipient was granted 16,400 options which are fully vested and currently exercisable. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $29.88 · Expires 2021-01-13 | Direct | 10,600 |
Reported balance
Holding disclosure · report date 2019-01-22 · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · Balance 10,600 F8: On January 13, 2011, the recipient was granted 10,600 options which are fully vested and currently exercisable. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $20.69 · Expires 2020-02-23 | Direct | 7,250 |
Reported balance
Holding disclosure · report date 2019-01-22 · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · Balance 7,250 F9: On February 23, 2010, the recipient was granted 7,250 options which are fully vested and currently exercisable. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.84 · Expires 2019-05-12 | Direct | 1,000 |
Reported balance
Holding disclosure · report date 2019-01-22 · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · Balance 1,000 F10: On May 12, 2009, the recipient was granted 1,000 options which are fully vested and currently exercisable. |
| Performance sharesSEC Table II · derivative / convertible security | Direct | 5,108 |
Reported balance
Holding disclosure · report date 2019-01-22 · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · Balance 5,108 F11: Each performance share represents the right to receive, at settlement, one share of common stock subject to the Issuer's achievement of performance goals. F12: Vesting of these performance shares depends on the Issuer's annual return on invested capital and basic earnings per share from January 1, 2017 through December 31, 2019. The target number of performance shares is reported. Between 0% and 200% of the target number of shares may vest on December 31, 2019, with the vesting percentage determined based on actual performance. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the exercise of a tax withholding right in connection with the vesting of 5,108 restricted shares that were issued in an exempt issuance pursuant to Rule 16b-3 under the Issuer's 2005 Long Term Incentive Plan.
F2: On January 14, 2019 the recipient was granted 35,750 options which will vest in three equal annual installments beginning on January 14, 2020.
F3: On January 12, 2018 the recipient was granted 57,794 options. The options vest and become exercisable based on a trailing 90-consecutive calendar day average closing price of one share of the Issuer's common stock (the "Stock Price") in the following proportions, provided the option holder remains continuously employed by the Issuer until the applicable vesting date: 34% of the shares subject to the option vest on the date the Stock Price is equal to or greater than $5.00 per share above the exercise price, an additional 33% of the shares subject to the option vest on the date the Stock Price is equal to or greater than $10.00 per share above the exercise price and the final 33% of the shares subject to the option vest on the date the Stock Price is equal to or greater than $15.00 per share above the exercise price.
F4: On January 12, 2018, the recipient was granted 16,182 options. 5,394 stock options are fully vested and currently exercisable, 5,394 stock options will vest on January 12, 2020 and 5,394 stock options will vest on January 12, 2021.
F5: On January 15, 2014 the recipient was granted 14,575 options which are fully vested and currently exercisable.
F6: On January 18, 2013, the recipient was granted 8,300 options which are fully vested and currently exercisable.
F7: On January 12, 2012, the recipient was granted 16,400 options which are fully vested and currently exercisable.
F8: On January 13, 2011, the recipient was granted 10,600 options which are fully vested and currently exercisable.
F9: On February 23, 2010, the recipient was granted 7,250 options which are fully vested and currently exercisable.
F10: On May 12, 2009, the recipient was granted 1,000 options which are fully vested and currently exercisable.
F11: Each performance share represents the right to receive, at settlement, one share of common stock subject to the Issuer's achievement of performance goals.
F12: Vesting of these performance shares depends on the Issuer's annual return on invested capital and basic earnings per share from January 1, 2017 through December 31, 2019. The target number of performance shares is reported. Between 0% and 200% of the target number of shares may vest on December 31, 2019, with the vesting percentage determined based on actual performance.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 22, 2019 Filed Jan 23, 2019 18:10 UTC | FreightCar America, Inc. RAIL · Entity 6251 | Tax withholdingCommon Stock | 1,768 | $7.49 | $13,233.48 |
DisclosureSEC source: 0000899243-19-001748 · doc4.xml · nonDerivative · entry 1 BAUN THEODORE W. · CIK 0001443910 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,303 F1 · kind: Represents the exercise of a tax withholding right in connection with the vesting of 5,108 restricted shares that were issued in an exempt issuance pursuant to Rule 16b-3 under the Issuer's 2005 Long Term Incentive Plan. Read SEC document |
| January 14, 2019 Filed Jan 16, 2019 19:37 UTC | FreightCar America, Inc. RAIL · Entity 6251 | GrantEmployee Stock Option (right to buy) · Derivative | 35,750 | $0.00 Strike: $7.41 | $0.00 |
DisclosureSEC source: 0000899243-19-001323 · doc4.xml · derivative · entry 2 BAUN THEODORE W. · CIK 0001443910 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,750 Underlying: Common stock · 35,750 shares Expires 2029-01-14 F3 · kind: Exempt issuance of options under Rule 16(b)-3 pursuant to the Issuer's 2005 Long Term Incentive Plan F5 · price: The options were granted pursuant to the Issuer's 2005 Long Term Incentive Plan, for which no consideration was paid by the recipient. F4 · derivative.exercise_date: The options vest in three equal annual installments beginning on January 14, 2020. Read SEC document |
| January 14, 2019 Filed Jan 16, 2019 19:37 UTC | FreightCar America, Inc. RAIL · Entity 6251 | GrantCommon Stock | 16,543 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-001323 · doc4.xml · nonDerivative · entry 1 BAUN THEODORE W. · CIK 0001443910 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,071 F1 · kind: Exempt issuance of restricted shares under Rule 16(b)-3 pursuant to the Issuer's 2005 Long Term Incentive Plan. These shares were granted on January 14, 2019 and will vest on January 14, 2022. The restricted shares are subject to certain restrictions (including possible forfeiture) F2 · price: The restricted shares were granted pursuant to the issuer's 2005 Long Term Incentive Plan, for which no consideration was paid by the recipient. Read SEC document |
| January 30, 2018 Filed Jan 31, 2018 15:06 UTC | FreightCar America, Inc. RAIL · Entity 6251 | Tax withholdingCommon Stock | 1,327 | $16.66 | $22,101.19 |
DisclosureSEC source: 0000899243-18-002378 · doc4.xml · nonDerivative · entry 1 BAUN THEODORE W. · CIK 0001443910 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,528 F1 · kind: Represents the exercise of a tax withholding right in connection with the vesting of 3,527 restricted shares that were issued in an exempt issuance pursuant to Rule 16b-3 under the Issuer's 2005 Long Term Incentive Plan. Read SEC document |
| January 12, 2018 Filed Jan 16, 2018 13:18 UTC | FreightCar America, Inc. RAIL · Entity 6251 | GrantEmployee Stock Option (right to buy) · Derivative | 16,182 | $0.00 Strike: $16.66 | $0.00 |
DisclosureSEC source: 0000899243-18-001041 · doc4.xml · derivative · entry 3 BAUN THEODORE W. · CIK 0001443910 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,182 Underlying: Common stock · 16,182 shares Expires 2028-01-12 F3 · kind: Exempt issuance of options under Rule 16(b)-3 pursuant to the Issuer's 2005 Long Term Incentive Plan F5 · price: The options were granted pursuant to the Issuer's 2005 Long Term Incentive Plan, for which no consideration was paid by the recipient. F6 · derivative.exercise_date: The options vest in three equal annual installments beginning on January 12, 2019. Read SEC document |
| January 12, 2018 Filed Jan 16, 2018 13:18 UTC | FreightCar America, Inc. RAIL · Entity 6251 | GrantEmployee Stock Option (right to buy) · Derivative | 57,794 | $0.00 Strike: $16.66 | $0.00 |
DisclosureSEC source: 0000899243-18-001041 · doc4.xml · derivative · entry 2 BAUN THEODORE W. · CIK 0001443910 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,794 Underlying: Common stock · 57,794 shares Expires 2028-01-12 F3 · kind: Exempt issuance of options under Rule 16(b)-3 pursuant to the Issuer's 2005 Long Term Incentive Plan F5 · price: The options were granted pursuant to the Issuer's 2005 Long Term Incentive Plan, for which no consideration was paid by the recipient. F4 · derivative.exercise_date: The options vest and become exercisable based on a trailing 90-consecutive calendar day average closing price of one share of the Issuer's common stock (the "Stock Price") in the following proportions, provided the option holder remains continuously employed by the Issuer until the applicable vesting date: 34% of the shares subject to the option vest on the date the Stock Price is equal to or greater than $5.00 per share above the exercise price, an additional 33% of the shares subject to the option vest on the date the Stock Price is equal to or greater than $10.00 per share above the exercise price and the final 33% of the shares subject to the option vest on the date the Stock Price is equal to or greater than $15.00 per share above the exercise price. Read SEC document |
| January 12, 2018 Filed Jan 16, 2018 13:18 UTC | FreightCar America, Inc. RAIL · Entity 6251 | GrantCommon Stock | 7,353 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-001041 · doc4.xml · nonDerivative · entry 1 BAUN THEODORE W. · CIK 0001443910 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,855 F1 · kind: Exempt issuance of restricted shares under Rule 16(b)-3 pursuant to the Issuer's 2005 Long Term Incentive Plan. These shares were granted on January 12, 2018 and will vest on January 12, 2021. The restricted shares are subject to certain restrictions (including possible forfeiture) F2 · price: The restricted shares were granted pursuant to the issuer's 2005 Long Term Incentive Plan, for which no consideration was paid by the recipient. Read SEC document |
| May 30, 2017 Filed Jun 1, 2017 17:02 UTC | FreightCar America, Inc. RAIL · Entity 6251 | SaleCommon Stock | 4,481 | $17.25 | $77,308.45 |
DisclosureSEC source: 0000899243-17-014998 · doc4.xml · nonDerivative · entry 1 BAUN THEODORE W. · CIK 0001443910 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,502 Read SEC document |
| May 23, 2017 Filed May 25, 2017 17:16 UTC | FreightCar America, Inc. RAIL · Entity 6251 | SaleCommon Stock | 600 | $17.11 | $10,266.00 |
DisclosureSEC source: 0000899243-17-014358 · doc4.xml · nonDerivative · entry 5 BAUN THEODORE W. · CIK 0001443910 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,983 Read SEC document |
| May 23, 2017 Filed May 25, 2017 17:16 UTC | FreightCar America, Inc. RAIL · Entity 6251 | SaleCommon Stock | 100 | $17.10 | $1,710.00 |
DisclosureSEC source: 0000899243-17-014358 · doc4.xml · nonDerivative · entry 4 BAUN THEODORE W. · CIK 0001443910 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,583 Read SEC document |
| May 23, 2017 Filed May 25, 2017 17:16 UTC | FreightCar America, Inc. RAIL · Entity 6251 | SaleCommon Stock | 33 | $17.10 | $564.30 |
DisclosureSEC source: 0000899243-17-014358 · doc4.xml · nonDerivative · entry 3 BAUN THEODORE W. · CIK 0001443910 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,683 Read SEC document |
| May 23, 2017 Filed May 25, 2017 17:16 UTC | FreightCar America, Inc. RAIL · Entity 6251 | SaleCommon Stock | 250 | $17.10 | $4,275.00 |
DisclosureSEC source: 0000899243-17-014358 · doc4.xml · nonDerivative · entry 2 BAUN THEODORE W. · CIK 0001443910 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,716 Read SEC document |
| May 23, 2017 Filed May 25, 2017 17:16 UTC | FreightCar America, Inc. RAIL · Entity 6251 | SaleCommon Stock | 17 | $17.10 | $290.70 |
DisclosureSEC source: 0000899243-17-014358 · doc4.xml · nonDerivative · entry 1 BAUN THEODORE W. · CIK 0001443910 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,966 Read SEC document |
| January 12, 2017 Filed Jan 17, 2017 17:38 UTC | FreightCar America, Inc. RAIL · Entity 6251 | GrantPerformance shares · Derivative | 5,800 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-001343 · doc4.xml · derivative · entry 2 BAUN THEODORE W. · CIK 0001443910 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,800 Underlying: Common stock · 5,800 shares Expires not disclosed F3 · derivative.exercise_price: Each performance share represents the right to receive, at settlement, one share of common stock subject to the Issuer's achievement of performance goals. F4 · kind: Exempt issuance of performance shares under Rule 16(b)-3 pursuant to the Issuer's 2005 Long Term Incentive Plan F5 · shares: Vesting of these performance shares depends on the Issuer's annual return on invested capital and basic earnings per share from January 1, 2017 through December 31, 2019. The target number of performance shares is reported. Between 0% and 200% of the target number of shares may vest on December 31, 2019, with the vesting percentage determined based on actual performance. F6 · price: Performance shares were granted pursuant to the Issuer's 2005 Long Term Incentive Plan, for which no consideration was paid by the recepient. F5 · derivative.exercise_date: Vesting of these performance shares depends on the Issuer's annual return on invested capital and basic earnings per share from January 1, 2017 through December 31, 2019. The target number of performance shares is reported. Between 0% and 200% of the target number of shares may vest on December 31, 2019, with the vesting percentage determined based on actual performance. F5 · derivative.expiration_date: Vesting of these performance shares depends on the Issuer's annual return on invested capital and basic earnings per share from January 1, 2017 through December 31, 2019. The target number of performance shares is reported. Between 0% and 200% of the target number of shares may vest on December 31, 2019, with the vesting percentage determined based on actual performance. Read SEC document |
| January 12, 2017 Filed Jan 17, 2017 17:38 UTC | FreightCar America, Inc. RAIL · Entity 6251 | GrantCommon Stock | 5,867 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-001343 · doc4.xml · nonDerivative · entry 1 BAUN THEODORE W. · CIK 0001443910 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,983 F1 · kind: Exempt issuance of restricted shares under Rule 16(b)-3 pursuant to the Issuer's 2005 Long Term Incentive Plan. These shares were granted on January 12, 2017 and will vest on January 12, 2020. The restricted shares are subject to certain restrictions (including possible forfeiture) F2 · price: The restricted shares were granted pursuant to the issuer's 2005 Long Term Incentive Plan, for which no consideration was paid by the recipient. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.