UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Phantom Stock | 03/01/2021(1) | 03/01/2021 | Common Stock | 1,100 | $ (2) | D | Â |
Phantom Stock | 03/01/2022(3) | 03/01/2022 | Common Stock | 2,250 | $ (2) | D | Â |
Phantom Stock | 12/31/2021(4) | 12/31/2021 | Common Stock | 2,500 | $ (2) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Leroux Lilian 1001 AIR BRAKE AVENUE WILMERDING, PA |
 |  |  President - Transit |  |
David L. DeNinno, POA for Lilian Leroux | 03/22/2019 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Shares of Phantom Stock vest at a rate of 50% per year beginning March 1, 2020. |
(2) | Each share of phantom stock is the economic equivalent of one share of Westinghouse Air Brake Technologies Corporation's common stock. |
(3) | Shares of Phantom Stock vest at 33.33% per year beginning March 1, 2020. |
(4) | Shares of Phantom Stock vest 50% on December 31, 2019, 25% on December 31, 2020, and 25% on December 31, 2021. |