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 | ||||
Stock Appreciation Right | Â (1) | 05/14/2017 | Common Stock | 350 | $ 14.12 | D | Â |
Stock Appreciation Right | Â (2) | 05/09/2018 | Common Stock | 1,920 | $ 24.45 | D | Â |
Stock Appreciation Right | Â (3) | 02/24/2019 | Common Stock | 3,666 | $ 29.31 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hollister Jeffrey Scott C/O AMERICAN RAILCAR INDUSTRIES, INC. 100 CLARK STREET ST. CHARLES, MO 63301 |
 |  |  President and Interim CEO |  |
/s/ Jeffrey S. Hollister | 10/18/2013 | |
**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) | The SARs were granted on May 14, 2010 pursuant to a voluntary exchange of SARs granted in 2007 and vested on May 14, 2013. |
(2) | The SARs were granted on May 9, 2011 and vest on May 9, 2014, but only if the Company achieves specified performance targets for the fiscal year preceding the vesting date. |
(3) | The SARs were granted on February 24, 2012 and vest in equal increments on February 24, 2014 and 2015, but only if the Company achieves specified performance targets for the fiscal year preceding the applicable vesting date. |