0000950103-19-010756.txt : 20190812 0000950103-19-010756.hdr.sgml : 20190812 20190812172945 ACCESSION NUMBER: 0000950103-19-010756 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190809 FILED AS OF DATE: 20190812 DATE AS OF CHANGE: 20190812 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GENERAL ELECTRIC CO CENTRAL INDEX KEY: 0000040545 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC & OTHER ELECTRICAL EQUIPMENT (NO COMPUTER EQUIP) [3600] STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 033-90866 FILM NUMBER: 191017593 BUSINESS ADDRESS: STREET 1: 41 FARNSWORTH STREET CITY: BOSTON STATE: MA ZIP: 02210 BUSINESS PHONE: 617-443-3000 MAIL ADDRESS: STREET 1: 41 FARNSWORTH STREET CITY: BOSTON STATE: MA ZIP: 02210 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: WESTINGHOUSE AIR BRAKE TECHNOLOGIES CORP CENTRAL INDEX KEY: 0000943452 STANDARD INDUSTRIAL CLASSIFICATION: RAILROAD EQUIPMENT [3743] IRS NUMBER: 251615902 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1001 AIR BRAKE AVE CITY: WILMERDING STATE: PA ZIP: 15148 BUSINESS PHONE: 4128251000 MAIL ADDRESS: STREET 1: 1001 AIR BRAKE AVE CITY: WILMERDING STATE: PA ZIP: 15148 FORMER COMPANY: FORMER CONFORMED NAME: WABTEC CORP DATE OF NAME CHANGE: 20000114 FORMER COMPANY: FORMER CONFORMED NAME: WESTINGHOUSE AIR BRAKE CO /DE/ DATE OF NAME CHANGE: 19950404 4 1 dp111202_4-ge.xml FORM 4 X0306 4 2019-08-09 1 0000943452 WESTINGHOUSE AIR BRAKE TECHNOLOGIES CORP WAB 0000040545 GENERAL ELECTRIC CO 41 FARNSWORTH STREET BOSTON MA 02210 0 0 1 0 Common Stock 2019-08-09 4 S 0 16969692 70.325 D 2048515 D Series A Non-voting Convertible Preferred Stock 2019-08-09 4 S 0 1219.9922 202644.7506 D Common Stock 3515464 0 D Prior to the sales reported on this Form 4, the shares of issuer common stock and non-voting convertible preferred stock had been subject to the terms of a Shareholders Agreement entered into between the reporting person and the issuer on February 25, 2019, which, among other things, (i) restricted the reporting person from selling or otherwise disposing of any shares of issuer common and non-voting convertible preferred stock during specified time periods and (ii) required the reporting person to sell, transfer or otherwise divest all shares of issuer common stock and non-voting convertible preferred stock by no later than February 25, 2022. In connection with the sales reported on this Form 4, (x) the reporting person granted to certain underwriters a 30-day option period to purchase from the reporting person up to an additional 2,048,515 shares of issuer common stock, (y) the issuer agreed to waive any restrictions under the Shareholders Agreement on the reporting person's ability to sell, transfer or otherwise divest its remaining 2,048,515 shares of issuer common stock, and (z) the reporting person has agreed to sell, transfer or otherwise divest such shares of issuer common stock by December 31, 2019, to the extent such underwriters do not exercise their option to purchase such shares in full. The non-voting convertible preferred stock automatically converts (and is not otherwise convertible other than) upon a transfer by the reporting person to a third party. The conversion rate is equal to 2,881.5464 shares of issuer common stock for each share of issuer convertible preferred stock. /s/ Christoph A. Pereira, Vice President, Chief Risk Officer and Chief Corporate Counsel on behalf of General Electric Company 2019-08-12