0001209191-20-058611.txt : 20201117 0001209191-20-058611.hdr.sgml : 20201117 20201117095750 ACCESSION NUMBER: 0001209191-20-058611 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201113 FILED AS OF DATE: 20201117 DATE AS OF CHANGE: 20201117 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Faiveley Erwan CENTRAL INDEX KEY: 0001691277 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 033-90866 FILM NUMBER: 201319564 MAIL ADDRESS: STREET 1: 1001 AIR BRAKE AVENUE CITY: WILMERDING STATE: PA ZIP: 15148 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: 30 ISABELLA STREET CITY: PITTSBURGH STATE: PA ZIP: 15212 BUSINESS PHONE: 4128251000 MAIL ADDRESS: STREET 1: 30 ISABELLA STREET CITY: PITTSBURGH STATE: PA ZIP: 15212 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 doc4.xml FORM 4 SUBMISSION X0306 4 2020-11-13 0 0000943452 WESTINGHOUSE AIR BRAKE TECHNOLOGIES CORP WAB 0001691277 Faiveley Erwan 30 ISABELLA ST. PITTSBURGH PA 15212 1 0 0 0 Common Stock 2020-11-13 4 S 0 19900 69.18 D 6046681 I Please see footnote Common Stock 2020-11-13 4 S 0 5100 69.81 D 6041581 I Please see footnote Common Stock 2020-11-16 4 S 0 17846 71.72 D 6023735 I Please see footnote Common Stock 2020-11-16 4 S 0 14154 72.51 D 6009581 I Please see footnote Common Stock - Direct 9026 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within $1.00 at a prices ranging from $68.70 to $69.69 inclusive. The reporting person undertakes to provide to Westinghouse Air Brake Technologies Corporation ("Wabtec"), any security holder of Wabtec, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within $1.00 at a prices ranging from $69.70 to $70.04 inclusive. The reporting person undertakes to provide to Wabtec, any security holder of Wabtec, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (2) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices within $1.00 at prices ranging from $71.08 to $72.06 inclusive. The reporting person undertakes to provide to Wabtec, any security holder of Wabtec, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (3) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices within $1.00 at prices ranging from $72.09 to $72.81 inclusive. The reporting person undertakes to provide to Wabtec, any security holder of Wabtec, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (4) to this Form 4. In connection with the consummation of certain transactions contemplated by that certain Share Purchase Agreement, dated as of October 6, 2015 (as amended, the "Purchase Agreement"), among Financiere Faiveley S.A., a French societe anonyme ("FinF"), Famille Faiveley Participations S.A.S., a French societe par actions simplifee ("FFP"), Mr. Francois Faiveley and Mr. Erwan Faiveley (collectively, the "Sellers"), Wabtec Corporation and FW Acquisition, LLC, on November 30, 2016, the Sellers received shares of common stock of Westinghouse Air Brake Technologies Corporation ("Wabtec"). Issarts Capital S.A., a public limited liability company organized under the laws of Luxembourg ("Issarts"), is the successor by merger to FinF and FFP. Mr. Erwan Faiveley is the chairman of the board of directors of Issarts and has affiliations with entities that own a majority of the outstanding capital stock of Issarts. All shares of common stock of Wabtec held by Issarts are indicated as beneficially owned indirectly by Mr. Erwan Faiveley in this report because of his affiliations with Issarts, and Mr. Erwan Faiveley disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Except as expressly indicated herein, Mr. Erwan Faiveley disclaims beneficial ownership of all the shares held by Issarts and this report shall not be deemed an admission that, for purposes of Section 16 of the Exchange Act or otherwise, that Mr. Erwan Faiveley, Issarts or any holder of capital stock of Issarts is the beneficial owner of shares of common stock of Wabtec. David L. DeNinno, POA for Erwan Faiveley 2020-11-17