0000950103-19-006089.txt : 20190507 0000950103-19-006089.hdr.sgml : 20190507 20190507163945 ACCESSION NUMBER: 0000950103-19-006089 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190506 FILED AS OF DATE: 20190507 DATE AS OF CHANGE: 20190507 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: 19803686 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 dp106430_4-ge.xml X0306 4 2019-05-06 0 0000943452 WESTINGHOUSE AIR BRAKE TECHNOLOGIES CORP WAB 0000040545 GENERAL ELECTRIC CO 41 FARNSWORTH STREET BOSTON MA 02210 0 0 1 0 Series A Non-voting Convertible Preferred Stock 2019-05-06 4 S 0 8780.0078 204910.3664 D Common Stock 25300000 1219.9922 D 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. The shares of issuer common stock and non-voting convertible preferred stock are 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 prior to March 27, 2019, (ii) following the sale reported on this Form 4, restricts the reporting person from selling or otherwise disposing of any additional shares of issuer common stock or non-voting convertible preferred stock without the issuer's consent prior to November 1, 2019 and (iii) requires the reporting person to sell, transfer or otherwise divest all shares of issuer common and non-voting convertible preferred stock by no later than February 25, 2022. /s/ Christoph A. Pereira, Vice President, Chief Risk Officer and Chief Corporate Counsel on behalf of General Electric Company 2019-05-07