| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | RAIL | Common Stock | Options Exercise | +42,815 | +7.6% | 607,515 | 30 Jan 2023 | Direct | F1 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | RAIL | Employee Restricted Stock Unit | Options Exercise | $0 | -42,815 | -100% | $0.000000* | 0 | 30 Jan 2023 | Common Stock | 42,815 | $0.000000 | Direct | F2 |
| holding | RAIL | Employee Stock Option | 188,585 | 30 Jan 2023 | Common Stock | 188,585 | $3.22 | Direct | F3 | |||||
| holding | RAIL | Employee Stock Option | 161,402 | 30 Jan 2023 | Common Stock | 161,402 | $3.82 | Direct | F4 | |||||
| holding | RAIL | Employee Stock Option | 113,276 | 30 Jan 2023 | Common Stock | 113,276 | $3.81 | Direct | F5 | |||||
| holding | RAIL | Employee Stock Option | 750,000 | 30 Jan 2023 | Common Stock | 750,000 | $2.38 | Direct | F6 | |||||
| holding | RAIL | Employee Stock Appreciation Right | 332,005 | 30 Jan 2023 | Common Stock | 332,005 | $1.66 | Direct | F7 | |||||
| holding | RAIL | Employee Stock Option | 72,959 | 30 Jan 2023 | Common Stock | 72,959 | $7.41 | Direct | F8 | |||||
| holding | RAIL | Employee Stock Option | 33,025 | 30 Jan 2023 | Common Stock | 33,025 | $16.66 | Direct | F9 | |||||
| holding | RAIL | Employee Stock Option | 350,000 | 30 Jan 2023 | Common Stock | 350,000 | $16.44 | Direct | F10 |
| Id | Content |
|---|---|
| F1 | Restricted stock units convert into shares of common stock on a one for one basis. |
| F2 | On January 30, 2020, the recipient was granted 42,815 cash-settled restricted stock units which vested on January 30, 2023. Effective December 7, 2022, the grant was amended to be settled in shares of common stock instead of cash. |
| F3 | On January 6, 2023, the recipient was granted 188,585 options which will vest in three equal annual installments beginning on January 6, 2024. |
| F4 | On January 17, 2022, the recipient was granted 161,402 options. 54,876 options are fully vested and currently exercisable. 53,263 options will vest on January 17, 2024 and 53,263 options will vest on January 17, 2025. |
| F5 | On January 28, 2021, the recipient was granted 113,276 options. 78,394 options are fully vested and currently exercisable and 37,382 options will vest on January 28, 2024. |
| F6 | On January 5, 2021, the recipient was granted 750,000 cash-settled stock appreciation rights. 502,500 cash-settled stock appreciation rights are fully vested and currently exercisable and 247,500 cash-settled stock appreciation rights will vest on January 5, 2024. |
| F7 | On January 24, 2020 the recipient was granted 332,005 cash-settled stock appreciation rights which are fully vested and currently exercisable. |
| F8 | On January 14, 2019, the recipient was granted 72,959 options which are fully vested and currently exercisable. |
| F9 | On January 12, 2018, the recipient was granted 33,025 options which are fully vested and currently exercisable. |
| F10 | On July 31, 2017, the recipient was granted 350,000 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. |