-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, SadjS2S0qmMiE6zagbYqkRIQ29f/3ULmFNycSRBc5fCXU9FwoUk0Sdx4CeGp/DK/ XfA9GA7+VRb2ZkMBw0FaaQ== 0000912057-00-003314.txt : 20000203 0000912057-00-003314.hdr.sgml : 20000203 ACCESSION NUMBER: 0000912057-00-003314 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000201 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-48247 FILM NUMBER: 519026 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: US TRUST CO OF CALIFORNIA NA CENTRAL INDEX KEY: 0000898225 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 954311476 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 515 FLOWER ST STE 2800 CITY: LOS ANGELES STATE: CA ZIP: 90071-2291 BUSINESS PHONE: 2138615020 MAIL ADDRESS: STREET 1: 515 FLOWER STREET STREET 2: SUITE 2800 CITY: LOS ANGELES STATE: CA ZIP: 90071-2291 SC 13G/A 1 SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3 )* ------ WESTINGHOUSE AIR BRAKE ---------------------- (Name of Issuer) Common Stock ------------------------------ (Title of Class of Securities) 960386100 -------------- (CUSIP Number) Check the following box if a fee is being paid with this statement / /. (A fee is not required if the filing person: (1) has a previous statement on file reporting beneficial ownership or more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-1) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). (continued on following pages(s)) Page 1 of 5 Pages --- CUSIP No. 960386100 13G Page 2 of 5 Pages --------- --- --- - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. I.R.S. Identification Nos. of above persons. U.S. Trust Company, National Association Tax id#. 95-4311476 as Trustee for Westinghouse Air Brake Co. Employee Stock Ownership Plan - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group (See Instructions) (b) / / - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization 515 S. Flower St. #2800 Los Angeles, CA 90071 USA - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power Beneficially Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Power Person With: 9,273,983 -------------------------------------------------- (7) Sole Dispositive Power -------------------------------------------------- (8) Shared Dispositive Power 9,273,983 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 9,273,983 - ------------------------------------------------------------------------------- (10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) / / - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 18% - ------------------------------------------------------------------------------- (12) Type of Reporting Person (See Instructions) E.P - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Page 3 of 5 Pages --- --- ITEM 1. (a) Name of Issuer Westinghouse Air Brake Co. --------------------------------------------------------------------- (b) Address of Issuer's Principal Executive Offices 1000 Air Brake Dr Wilmerding, PA 15148 --------------------------------------------------------------------- ITEM 2. (a) Name of Person(s) Filing U.S. Trust Co., National Association --------------------------------------------------------------------- (b) Address of Principal Business Office Or, If None, Residence 515 S Flower St. #2800 Los Angeles, CA 90071 --------------------------------------------------------------------- (c) Citizenship USA --------------------------------------------------------------------- (d) Title of Class of Securities Common Stock --------------------------------------------------------------------- (e) CUSIP Number 960386100 --------------------------------------------------------------------- ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SECTIONS 13D-1(B) OR 13D-2(B) OR (c), CHECK WHETHER THE PERSON FILING IS A: (a) / / Broker or Dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) / / Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) / / Insurance Company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d) / / Investment Company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). (e) / / Investment Adviser registered under section 203 of the investment Company Act. (f) /X/ Employee Benefit Plan. Pension fund which is subject to teh provisions of the Employee Retirement Income Security Act of 1974 our endowment fund; See section 13d-1(b)(1)(ii)(F). (g) / / Parent Holding Company, in accordance in accordance with Rule 13d-1(b)(1)(ii)(G). (Note: See Item 7) (h) / / Group, in accordance with Rule 13d-1(b)(1)(ii)(H). Page 4 of 5 Pages --- --- ITEM 4. OWNERSHIP (a) Amount beneficially owned: 9,273,983 --------------------------------------------------------------------------- (b) Percent of class: 18% --------------------------------------------------------------------------- (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote ----------------------------------------------------------------- (ii) Shared power to vote or to direct the vote 9,273,983 ----------------------------------------------------------------- (iii) Sole power to dispose or to direct the disposition of ----------------------------------------------------------------- (iv) Shared power to dispose or to direct the disposition of 9,273,983 ----------------------------------------------------------------- ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following. / / ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP ITEM 9. NOTICE OF DISSOLUTION OF GROUP ITEM 10. CERTIFICATION By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of the such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. 1/27/00 ---------------------------------------- Date /s/ Terry J Colberg Terry J Colberg ---------------------------------------- Signature Vice President ---------------------------------------- Name/Title -----END PRIVACY-ENHANCED MESSAGE-----