0001209191-21-033119.txt : 20210517 0001209191-21-033119.hdr.sgml : 20210517 20210517152341 ACCESSION NUMBER: 0001209191-21-033119 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210515 FILED AS OF DATE: 20210517 DATE AS OF CHANGE: 20210517 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: 21929827 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 2021-05-15 0 0000943452 WESTINGHOUSE AIR BRAKE TECHNOLOGIES CORP WAB 0001691277 Faiveley Erwan 30 ISABELLA ST. PITTSBURGH PA 15212 1 0 0 0 Common Stock - Direct 2021-05-15 4 F 0 865 80.275 D 6999 D Common Stock 5695417 I Please see footnote The amount of securities withheld by the Company to discharge withholding tax obligations of the reporting person in connection with the vesting of restricted shares. 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 2021-05-17