Initial Statement of Beneficial Ownership (3)
13 October 2017 - 7:32AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Smith Dustin T
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2. Date of Event Requiring Statement (MM/DD/YYYY)
10/2/2017
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3. Issuer Name
and
Ticker or Trading Symbol
WABASH NATIONAL CORP /DE [WNC]
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(Last)
(First)
(Middle)
1000 SAGAMORE PARKWAY SOUTH
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
SVP and Group President, CTP /
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(Street)
LAFAYETTE, IN 47905
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
(1)
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20100
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (right to buy)
(6)
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(5)
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2/17/2025
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Common Stock
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1500
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$0
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D
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Stock Option (right to buy)
(7)
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(2)
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2/19/2024
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Common Stock
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767
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$0
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D
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Performance Unit
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2/22/2020
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2/20/2020
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Common Stock
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9740
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(3)
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D
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Performance Unit
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2/17/2018
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2/17/2018
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Common Stock
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3590
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(4)
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D
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Explanation of Responses:
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(1)
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Restricted Stock Unit awards - 7,500 vesting 10/1/2020, 6,500 vesting 2/22/2020, 3,940 vesting 2/17/2019, and 2,160 vesting 2/17/2018
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(2)
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Award is fully vested
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(3)
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Performance Units were granted on February 22, 2017, subject to achievement of performance period criteria for a three-year period, ending upon the close of the Company's 2019 fiscal year. The number of units reported assume the Company meets target performance criteria at the end of 2019; actual units earned will be adjusted based on actual performance against the performance criteria. Any earned units will vest on February 22, 2020, at which time each earned and vested unit will convert to one share of the Company's common stock.
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(4)
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Performance Units were granted on February 17, 2015, subject to achievement of performance period criteria for a three-year period, ending upon the close of the Company's 2017 fiscal year. The number of units reported assume the Company meets target performance criteria at the end of 2017; actual units earned will be adjusted based on actual performance against the performance criteria. Any earned units will vest on February 17, 2018, at which time each earned and vested unit will convert to one share of the Company's common stock.
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(5)
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Award vests in three equal installments on February 17, 2016, 2017 and 2018
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(6)
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Awarded 2,250 stock options, 750 sold, 750 held, 750 not vested
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(7)
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Awarded 2,300 stock options, 1,533 sold and 767 held
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Smith Dustin T
1000 SAGAMORE PARKWAY SOUTH
LAFAYETTE, IN 47905
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SVP and Group President, CTP
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Signatures
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Dustin T. Smith
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10/12/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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