0000899243-19-001323.txt : 20190116
0000899243-19-001323.hdr.sgml : 20190116
20190116193747
ACCESSION NUMBER: 0000899243-19-001323
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190114
FILED AS OF DATE: 20190116
DATE AS OF CHANGE: 20190116
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BAUN THEODORE W.
CENTRAL INDEX KEY: 0001443910
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-51237
FILM NUMBER: 19529922
MAIL ADDRESS:
STREET 1: TWO NORTH RIVERSIDE PLAZA, SUITE 1300
CITY: CHICAGO
STATE: IL
ZIP: 60606
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: FreightCar America, Inc.
CENTRAL INDEX KEY: 0001320854
STANDARD INDUSTRIAL CLASSIFICATION: RAILROAD EQUIPMENT [3743]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: TWO NORTH RIVERSIDE PLAZA
STREET 2: SUITE 1300
CITY: CHICAGO
STATE: IL
ZIP: 60606
BUSINESS PHONE: (800) 458-2235
MAIL ADDRESS:
STREET 1: TWO NORTH RIVERSIDE PLAZA
STREET 2: SUITE 1300
CITY: CHICAGO
STATE: IL
ZIP: 60606
FORMER COMPANY:
FORMER CONFORMED NAME: FCA Acquisition Corp.
DATE OF NAME CHANGE: 20050316
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2019-01-14
0
0001320854
FreightCar America, Inc.
RAIL
0001443910
BAUN THEODORE W.
TWO NORTH RIVERSIDE PLAZA SUITE 1300
CHICAGO
IL
60606
0
1
0
0
Chief Commercial Officer
Common Stock
2019-01-14
4
A
0
16543
0.00
A
37071
D
Employee Stock Option (right to buy)
7.41
2019-01-14
4
A
0
35750
0.00
A
2029-01-14
Common stock
35750
35750
D
Employee Stock Option (right to buy)
16.66
2028-01-12
Common stock
57794
57794
D
Employee Stock Option (right to buy)
16.66
2028-01-12
Common stock
16182
16182
D
Employee Stock Option (right to buy)
25.55
2024-01-15
Common stock
14575
14575
D
Employee Stock Option (right to buy)
24.56
2023-01-18
Common stock
8300
8300
D
Employee Stock Option (right to buy)
23.40
2022-01-12
Common stock
16400
16400
D
Employee Stock Option (right to buy)
29.88
2021-01-13
Common stock
10600
10600
D
Employee Stock Option (right to buy)
20.69
2020-02-23
Common stock
7250
7250
D
Employee Stock Option (right to buy)
17.84
2019-05-12
Common stock
1000
1000
D
Performance shares
Common stock
5108
5108
D
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)
The restricted shares were granted pursuant to the issuer's 2005 Long Term Incentive Plan, for which no consideration was paid by the recipient.
Exempt issuance of options under Rule 16(b)-3 pursuant to the Issuer's 2005 Long Term Incentive Plan
The options vest in three equal annual installments beginning on January 14, 2020.
The options were granted pursuant to the Issuer's 2005 Long Term Incentive Plan, for which no consideration was paid by the recipient.
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.
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.
On January 15, 2014 the recipient was granted 14,575 options which are fully vested and currently exercisable.
On January 18, 2013, the recipient was granted 8,300 options which are fully vested and currently exercisable.
On January 12, 2012, the recipient was granted 16,400 options which are fully vested and currently exercisable.
On January 13, 2011, the recipient was granted 10,600 options which are fully vested and currently exercisable.
On February 23, 2010, the recipient was granted 7,250 options which are fully vested and currently exercisable.
On May 12, 2009, the recipient was granted 1,000 options which are fully vested and currently exercisable.
Each performance share represents the right to receive, at settlement, one share of common stock subject to the Issuer's achievement of performance goals.
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.
/s/ Georgia L. Vlamis, as attorney in fact
2019-01-16