Delaware
|
25-1615902
|
|
(State or other jurisdiction of incorporation or organization)
|
(I.R.S. Employer Identification No.)
|
Large accelerated filer
|
☒ |
Accelerated filer
|
☐ |
Non-accelerated filer
|
☐ (Do not check if a smaller reporting company)
|
Smaller reporting company
|
☐ |
Emerging growth company
|
☐ |
Title of each Class of
Securities to be Registered
|
Amount to be
Registered (1)
|
Proposed Maximum
Offering Price Per
Unit (1)
|
Proposed Maximum
Aggregate Offering
Price (1)
|
Amount of
Registration Fee
(1)(2)
|
|
Debt Securities
|
|||||
Common Stock, par value $.01 per share
|
|||||
Preferred Stock, par value $.01 per share
|
|||||
Warrants
|
|||||
Depositary Shares
|
|||||
Purchase Contracts
|
|||||
Units
|
|||||
Guarantees of Debt Securities (3)
|
(1) |
An indeterminate aggregate initial offering price and amount of the securities of each identified class is being registered as may be offered and sold from time to time at indeterminate prices. Separate consideration may or may not be
received for securities that are issuable upon exercise, conversion or exchange of other securities or that are issued in units or represented by depositary shares. In accordance with Rules 456(b) and 457(r), the registrant is deferring
payment of all of the registration fee required in connection with this registration statement.
|
(2) |
Any securities registered hereunder may be sold separately or as units with other securities registered hereunder.
|
(3) |
No separate consideration will be received for such guarantees. Pursuant to Rule 457(n), no registration fee is required with respect to such guarantees. The direct and indirect subsidiaries of Westinghouse Air Brake Technologies
Incorporated that may be guarantors of some or all of the debt securities registered hereunder are listed as additional registrants for the purpose of registering their guarantees, if any, of the debt securities registered hereunder.
|
Exact Name of Registrant as Specified in its
Charter and Address, Including Zip Code, and
Telephone Number, Including Area Code, of
Registrant’s Principal Executive Offices*
|
State or Other
Jurisdiction
Of Incorporation
|
I.R.S. Employer
Identification Number
|
Primary Standard
Industrial
Classification Code
|
|||
GE Transportation, a Wabtec Company
|
Delaware
|
83-0543909
|
3743
|
|||
RFPC Holding Corp.
|
Delaware
|
51-0345158
|
3743
|
|||
Schaefer Equipment, Inc.
|
Ohio
|
25-0777620
|
3743
|
|||
Standard Car Truck Company
|
Delaware
|
36-2704499
|
3743
|
|||
Transportation IP Holdings, LLC
|
Delaware
|
06-1554217
|
3743
|
|||
Transportation Systems Services Operations Inc.
|
Nevada
|
06-1105824
|
3743
|
|||
Wabtec Holding Corp.
|
Delaware
|
23-2870660
|
3743
|
|||
Wabtec Railway Electronics Holdings, LLC
|
Delaware
|
N/A
|
3743
|
|||
Wabtec Transportation Systems, LLC
|
Delaware
|
N/A
|
3743
|
|||
Workhorse Rail, LLC
|
Pennsylvania
|
77-0635262
|
3743
|
* |
The address, including zip code, and telephone number, including area code, of each additional registrant is c/o David L. DeNinno, Esq., Executive Vice President, General Counsel and Secretary, Westinghouse Air
Brake Technologies Corporation, 30 Isabella Street, Pittsburgh, Pennsylvania 15212, telephone number (412) 825-1000. The name, address, including zip code, and telephone number, including area code, of the agent for service for each
additional registrant is David L. DeNinno, Esq., Executive Vice President, General Counsel and Secretary, Westinghouse Air Brake Technologies Corporation, 30 Isabella Street, Pittsburgh, Pennsylvania 15212, telephone number (412) 825-1000.
|
Item 14.
|
Other Expenses of Issuance and Distribution.
|
SEC registration fee
|
$
|
*
|
||
Legal fees and expenses
|
** | |||
Accounting fees and expenses
|
** | |||
Trustee’s fees and expenses
|
** | |||
Printing and engraving fees
|
** | |||
Miscellaneous
|
** | |||
Total
|
$
|
*
|
*
|
In accordance with Rules 456(b) and 457(r), we are deferring payment of all of the registration fee required in connection with this registration statement.
|
** |
The foregoing sets forth the general categories of expenses (other than underwriting discounts and commissions) that we anticipate we will incur in connection with the offering of securities under this Registration Statement. Information
regarding estimated expenses of issuance and distribution of each identified class of securities being registered will be provided at the time information as to such class is included in a prospectus supplement.
|
Item 15.
|
Indemnification of Directors and Officers.
|
(1) |
by a majority vote of the directors who were not parties to such action, suit or proceeding, even though less than a quorum; or
|
(2) |
by a committee of such directors designated by a majority vote of such directors, even though less than a quorum; or
|
(3) |
if there are no such directors, or, if such directors so direct, by independent legal counsel in a written opinion; or
|
(4) |
by the stockholders.
|
Item 16.
|
Exhibits.
|
Exhibit
Number
|
Description
|
||
*
|
1.1
|
Form of Underwriting Agreement.
|
|
*
|
1.2
|
Form of Distribution Agreement.
|
|
Indenture, dated August 8, 2013, by and between the Company and Wells Fargo, National Association, as Trustee (incorporated by reference to Exhibit 4.1 to the Current Report on Form 8-K filed by Westinghouse Air Brake Technologies
Corporation on August 8, 2013).
|
|||
First Supplemental Indenture, dated as of August 8, 2013, by and between Westinghouse Air Brake Technologies Corporation and Wells Fargo Bank, National Association, as trustee (incorporated herein by reference to Exhibit 4.2 to
Westinghouse Air Brake Technologies Corporation’s Current Report on Form 8-K filed on August 8, 2013).
|
|||
Form of 4.375% Senior Note due 2023 (included in Exhibit 4.2).
|
|||
Second Supplemental Indenture, dated as of November 3, 2016, by and among Westinghouse Air Brake Technologies Corporation, the subsidiary guarantors named therein and Wells Fargo Bank, National Association, as trustee (incorporated herein
by reference to Exhibit 4.2 to Westinghouse Air Brake Technologies Corporation’s Current Report on Form 8-K filed on November 3, 2016).
|
|||
Third Supplemental Indenture, dated as of November 3, 2016, by and among Westinghouse Air Brake Technologies Corporation, the subsidiary guarantors named therein and Wells Fargo Bank, National Association, as trustee (incorporated herein
by reference to Exhibit 4.3 to Westinghouse Air Brake Technologies Corporation’s Current Report on Form 8-K filed on November 3, 2016).
|
|||
Form of 3.450 % Senior Note due 2026 (included in Exhibit 4.5).
|
Fourth Supplemental Indenture, dated as of February 9, 2017, by and among Westinghouse Air Brake Technologies Corporation, the subsidiary guarantors named therein and Wells Fargo Bank, National Association, as trustee (incorporated herein
by reference to Exhibit 4.9 to Westinghouse Air Brake Technologies Corporation’s Annual Report on Form 10-K filed on February 28, 2017).
|
|||
Fifth Supplemental Indenture, dated as of April 28, 2017, by and among Westinghouse Air Brake Technologies Corporation, the subsidiary guarantors named therein and Wells Fargo Bank, National Association, as trustee (incorporated herein by
reference to Exhibit 4.1 to Westinghouse Air Brake Technologies Corporation’s Current Report on Form 10-Q filed on May 4, 2017).
|
|||
Sixth Supplemental Indenture, dated as of June 21, 2017, by and among Westinghouse Air Brake Technologies Corporation, the subsidiary guarantors named therein and Wells Fargo Bank, National Association, as trustee (incorporated by
reference to Exhibit 4.10 to the Registration Statement on Form S-4 filed by Westinghouse Air Brake Technologies Corporation on July 19, 2017).
|
|||
Seventh Supplemental Indenture, dated as of June 8, 2018, by and among Westinghouse Air Brake Technologies Corporation, the subsidiary guarantors named therein and Wells Fargo Bank, National Association, as trustee (incorporated by
reference to Exhibit 4.10 to Westinghouse Air Brake Technologies Corporation’s Quarterly Report on Form 10-Q filed on July 31, 2018).
|
|||
Eighth Supplemental Indenture, dated as of June 29, 2018, by and among Westinghouse Air Brake Technologies Corporation, the subsidiary guarantors named therein and Wells Fargo Bank, National Association, as trustee (incorporated by
reference to Exhibit 4.11 to Westinghouse Air Brake Technologies Corporation’s Quarterly Report on Form 10-Q filed on July 31, 2018).
|
|||
Ninth Supplemental Indenture, dated as of September 14, 2018, by and among Westinghouse Air Brake Technologies Corporation, the subsidiary guarantors named therein and Wells Fargo Bank, National Association, as trustee (incorporated by
reference to Exhibit 4.3 to Westinghouse Air Brake Technologies Corporation’s Current Report on Form 8-K filed on September 14, 2018).
|
|||
Form of Floating Rate Senior Note due 2021 (included in Exhibit 4.12).
|
|||
Form of 4.15% Senior Note due 2024 (included in Exhibit 4.12).
|
|||
Form of 4.70% Senior Note due 2028 (included in Exhibit 4.12).
|
|||
Tenth Supplemental Indenture, dated as of June 6, 2019, by and among Westinghouse Air Brake Technologies Corporation, the subsidiary guarantors named therein and Wells Fargo Bank, National Association, as trustee (incorporated by reference
to Exhibit 4.1 to Westinghouse Air Brake Technologies Corporation’s Quarterly Report on Form 10-Q filed on August 1, 2019).
|
|||
Form of Indenture for Senior Debt (incorporated by reference to Exhibit 4.1 to the Registration Statement on Form S-3 filed by Westinghouse Air Brake Technologies Corporation on August 5, 2013).
|
4.18
|
Form of Senior Debt Security (included as part of Exhibit 4.1 and Exhibit 4.17).
|
||
Form of Indenture for Subordinated Debt (incorporated by reference to Exhibit 4.3 to the Registration Statement on Form S-3 filed by Westinghouse Air Brake Technologies Corporation on August 5, 2013).
|
|||
Form of Subordinated Debt Security (included as part of Exhibit 4.19).
|
|||
*
|
4.21
|
Form of Warrant Agreement.
|
|
*
|
4.22
|
Form of Warrant Certificate.
|
|
*
|
4.23
|
Form of Deposit Agreement.
|
|
*
|
4.24
|
Form of Depositary Receipt.
|
|
*
|
4.25
|
Form of Purchase Contract Agreement.
|
|
*
|
4.26
|
Form of Purchase Contract Security.
|
|
*
|
4.27
|
Form of Purchase Unit Agreement.
|
|
*
|
4.28
|
Form of Purchase Unit Certificate.
|
|
4.29
|
Form of Certificate of Common Stock (incorporated by reference to Exhibit 5 to the Registration Statement on Form 8-A filed by Westinghouse Air Brake Technologies Corporation on May 19, 1995).
|
||
*
|
4.30
|
Form of Certificate of Preferred Stock.
|
|
*
|
4.31
|
Form of Guarantee.
|
|
Opinion of K&L Gates LLP (incorporated by reference to Exhibit 5.1 to the Registration Statement on Form S-3 (File No. 333-219657) filed by Westinghouse Air Brake Technologies Corporation on August 3, 2017) (as to securities that may
be offered under the Registration Statement by Westinghouse Air Brake Technologies Corporation and certain subsidiary guarantors).
|
|||
Opinion of Jones Day (incorporated by reference to Exhibit 5.2 to Post-Effective Amendment No. 1 to the Registration Statement on Form S-3 (File No. 333-219657) filed by Westinghouse Air Brake Technologies Corporation on September 10,
2018) (as to securities that may be offered under the Registration Statement by certain subsidiary guarantors).
|
|||
+
|
Opinion of K&L Gates LLP (as to securities that may be offered under the Registration Statement by certain subsidiary guarantors).
|
||
+
|
Consent of Ernst & Young LLP.
|
23.2
|
|||
Consent of Jones Day (included as part of Exhibit 5.2).
|
|||
Powers of Attorney of certain directors and officers of the registrants (included on signature pages to the Registration Statement on Form S-3 (File No. 333-219657) filed by Westinghouse Air
Brake Technologies Corporation on August 3, 2017 and Post-Effective Amendment No. 1 to the Registration Statement on Form S-3 (File No. 333-219657) filed by Westinghouse Air Brake Technologies
Corporation on September 10, 2018).
|
|||
Powers of Attorney of certain directors and officers of the registrants (included on the signature pages hereto).
|
|||
+
|
Form T-1 Statement of Eligibility of Trustee under the Indenture, dated August 8, 2013, by and between the Company and Wells Fargo, National Association, as Trustee.
|
||
+
|
Form T-1 Statement of Eligibility of Senior Debt Indenture Trustee.
|
||
+
|
Form T-1 Statement of Eligibility of Subordinated Debt Indenture Trustee.
|
Item 17. |
Undertakings.
|
WESTINGHOUSE AIR BRAKE TECHNOLOGIES CORPORATION
|
|||
By:
|
/s/ Patrick D. Dugan
|
||
Name:
|
Patrick D. Dugan
|
||
Title:
|
Executive Vice President and
|
||
Chief Financial Officer
|
SIGNATURE
|
TITLE
|
DATE
|
||
/s/ Rafael Santana
|
President and Chief Executive Officer
|
June 16, 2020
|
||
Rafael Santana
|
and Director (Principal Executive
|
|||
Officer)
|
||||
*
|
Executive Vice President and Chief
|
June 16, 2020
|
||
Patrick D. Dugan
|
Financial Officer (Principal Financial
|
|||
Officer) | ||||
*
|
Senior Vice President and Principal
|
June 16, 2020
|
||
John A. Mastalerz
|
Accounting Officer (Principal
|
|||
Accounting Officer)
|
||||
*
|
Chairman of the Board
|
June 16, 2020
|
||
Albert J. Neupaver
|
||||
*
|
Director
|
June 16, 2020
|
||
Erwan Faiveley
|
*
|
Director
|
June 16, 2020
|
||
Lee B. Foster, II
|
||||
*
|
Director
|
June 16, 2020
|
||
Linda A. Harty
|
||||
*
|
Director
|
June 16, 2020
|
||
Brian P. Hehir
|
||||
*
|
Director
|
June 16, 2020
|
||
Michael W. D. Howell
|
||||
*
|
Director
|
June 16, 2020
|
||
William E. Kassling
|
||||
/s/ Ann R. Klee
|
||||
Ann R. Klee
|
Director
|
June 16, 2020
|
* |
The undersigned by signing his name hereto does sign and execute this registration statement on Form S-3 pursuant to the Powers of Attorney executed by the above-named directors and officers of the registrant.
|
/s/ David L. DeNinno
|
|
Name: David L. DeNinno
|
|
Title: Attorney-in-fact
|
GE TRANSPORTATION, A WABTEC COMPANY
|
|||
By:
|
/s/ Patrick D. Dugan
|
||
Name:
|
Patrick D. Dugan
|
||
Title:
|
Vice President, Finance
|
SIGNATURE
|
TITLE
|
DATE
|
||
/s/ Patrick D. Dugan
|
Vice President, Finance (Principal
|
June 16, 2020
|
||
Patrick D. Dugan
|
Executive, Financial and Accounting
|
|||
Officer)
|
||||
/s/ Rafael Santana
|
Director
|
June 16, 2020
|
||
Rafael Santana
|
RFPC HOLDING CORP.
|
|||
By:
|
/s/ Patrick D. Dugan
|
||
Name:
|
Patrick D. Dugan
|
||
Title:
|
Vice President, Finance
|
SIGNATURE
|
TITLE
|
DATE
|
||
*
|
Vice President, Finance and Director
|
June 16, 2020
|
||
Patrick D. Dugan
|
(Principal Executive, Financial and
|
|||
Accounting Officer)
|
||||
*
|
Director
|
June 16, 2020
|
||
John A. Mastalerz
|
||||
*
|
Director
|
June 16, 2020
|
||
Kamini Patel
|
||||
*
|
Director
|
June 16, 2020
|
||
David M. Seitz
|
* |
The undersigned by signing his name hereto does sign and execute this registration statement on Form S-3 pursuant to the Powers of Attorney executed by the above-named directors and officers of the registrant.
|
/s/ David L. DeNinno
|
|
Name: David L. DeNinno
|
|
Title: Attorney-in-fact
|
SCHAEFER EQUIPMENT, INC.
|
|||
By:
|
/s/ Patrick D. Dugan
|
||
Name:
|
Patrick D. Dugan
|
||
Title:
|
Vice President, Finance
|
SIGNATURE
|
TITLE
|
DATE
|
||
*
|
Vice President, Finance (Principal
|
June 16, 2020
|
||
Patrick D. Dugan
|
Executive, Financial and
|
|||
Accounting Officer)
|
||||
*
|
Director
|
June 16, 2020
|
||
John A. Mastalerz
|
||||
*
|
Director
|
June 16, 2020
|
||
David M. Seitz
|
* |
The undersigned by signing his name hereto does sign and execute this registration statement on Form S-3 pursuant to the Powers of Attorney executed by the above-named directors and officers of the registrant.
|
/s/ David L. DeNinno
|
|
Name: David L. DeNinno
|
|
Title: Attorney-in-fact
|
STANDARD CAR TRUCK COMPANY
|
|||
By:
|
/s/ Patrick D. Dugan
|
||
Name:
|
Patrick D. Dugan
|
||
Title:
|
Vice President, Finance
|
SIGNATURE
|
TITLE
|
DATE
|
||
*
|
Vice President, Finance (Principal
|
June 16, 2020
|
||
Patrick D. Dugan
|
Executive, Financial and
|
|||
|
Accounting Officer)
|
|||
*
|
Director
|
June 16, 2020
|
||
John A. Mastalerz
|
||||
*
|
Director
|
June 16, 2020
|
||
David M. Seitz
|
* |
The undersigned by signing his name hereto does sign and execute this registration statement on Form S-3 pursuant to the Powers of Attorney executed by the above-named directors and officers of the registrant.
|
/s/ David L. DeNinno
|
|
Name: David L. DeNinno
|
|
Title: Attorney-in-fact
|
TRANSPORTATION IP HOLDINGS, LLC
|
|||
By:
|
/s/ Patrick D. Dugan
|
||
Name:
|
Patrick D. Dugan
|
||
Title:
|
Vice President, Finance
|
SIGNATURE
|
TITLE
|
DATE
|
||
/s/ Patrick D. Dugan
|
Vice President, Finance (Principal
|
June 16, 2020
|
||
Patrick D. Dugan
|
Executive, Financial and Accounting
|
|||
Officer)
|
TRANSPORTATION SYSTEMS SERVICES OPERATIONS, INC.
|
|||
By:
|
/s/ Patrick D. Dugan
|
||
Name:
|
Patrick D. Dugan
|
||
Title:
|
Vice President, Finance
|
SIGNATURE
|
TITLE
|
DATE
|
||
/s/ Patrick D. Dugan |
Vice President, Finance |
June 16, 2020 |
||
Patrick D. Dugan |
(Principal Executive, Financial and |
|||
Accounting Officer) |
||||
/s/ James Hilderhoff
|
Director
|
June 16, 2020
|
||
James Hilderhoff
|
||||
/s/ Pascal Schweitzer
|
Director
|
June 16, 2020
|
||
Pascal Schweitzer
|
WABTEC HOLDING CORP.
|
|||
By:
|
/s/ Patrick D. Dugan
|
||
Name:
|
Patrick D. Dugan
|
||
Title:
|
Vice President, Finance
|
SIGNATURE
|
TITLE
|
DATE
|
||
*
|
Vice President, Finance and Director
|
June 16, 2020
|
||
Patrick D. Dugan
|
(Principal Executive, Financial and
|
|||
Accounting Officer)
|
||||
/s/ David L. DeNinno
|
Director
|
June 16, 2020
|
||
David L. DeNinno
|
||||
*
|
Director
|
June 16, 2020
|
||
John A. Mastalerz
|
||||
*
|
Director
|
June 16, 2020
|
||
Kamini Patel
|
||||
*
|
Director
|
June 16, 2020
|
||
David M. Seitz
|
* |
The undersigned by signing his name hereto does sign and execute this registration statement on Form S-3 pursuant to the Powers of Attorney executed by the above-named directors and officers of the registrant.
|
/s/ David L. DeNinno
|
|
Name: David L. DeNinno
|
|
Title: Attorney-in-fact
|
WABTEC RAILWAY ELECTRONICS HOLDINGS, LLC
|
|||
By:
|
/s/ Patrick D. Dugan
|
||
Name:
|
Patrick D. Dugan
|
||
Title:
|
Vice President, Finance
|
SIGNATURE
|
TITLE
|
..
|
DATE
|
|
*
|
Vice President, Finance and
|
June 16, 2020
|
||
Patrick D. Dugan
|
Director (Principal Executive,
|
|||
Financial and Accounting Officer)
|
||||
*
|
Director
|
June 16, 2020
|
||
Bruce Beveridge
|
||||
*
|
Director
|
June 16, 2020
|
||
David M. Seitz
|
* |
The undersigned by signing his name hereto does sign and execute this registration statement on Form S-3 pursuant to the Powers of Attorney executed by theabove-named directors and officers of the registrant.
|
/s/ David L. DeNinno
|
|
Name: David L. DeNinno
|
|
Title: Attorney-in-fact
|
WABTEC TRANSPORTATION SYSTEMS, LLC
|
|||
By:
|
/s/ Patrick D. Dugan
|
||
Name:
|
Patrick D. Dugan
|
||
Title:
|
Vice President, Finance
|
SIGNATURE
|
TITLE
|
DATE
|
||
/s/ Patrick D. Dugan
|
Vice President, Finance (Principal
|
June 16, 2020
|
||
Patrick D. Dugan
|
Executive, Financial and Accounting
|
|||
Officer)
|
||||
/s/ James Hilderhoff |
Director
|
June 16, 2020
|
||
James Hilderhoff
|
||||
/s/ Rafael Santana |
Director
|
June 16, 2020
|
||
Rafael Santana
|
WORKHORSE RAIL, LLC
|
|||
By:
|
/s/ Patrick D. Dugan
|
||
Name:
|
Patrick D. Dugan
|
||
Title:
|
Vice President, Finance
|
SIGNATURE
|
TITLE
|
DATE
|
||
*
|
Vice President, Finance (Principal
|
June 16, 2020
|
||
Patrick D. Dugan
|
Executive, Financial and Accounting
|
|||
Officer)
|
||||
*
|
Director
|
June 16, 2020
|
||
John A. Mastalerz
|
||||
*
|
Director
|
June 16, 2020
|
||
David M. Seitz
|
* |
The undersigned by signing his name hereto does sign and execute this registration statement on Form S-3 pursuant to the Powers of Attorney executed by the above-named directors and officers of the registrant.
|
/s/ David L. DeNinno
|
|
Name: David L. DeNinno
|
|
Title: Attorney-in-fact
|
(1) |
the Company’s debt securities, which may be either senior (the “Senior Debt Securities”) or subordinated (together with the Senior Debt Securities, the “Debt Securities”);
|
(2) |
shares of the Company’s common stock, par value $.01 per share (the “Common Stock”);
|
(3) |
shares of the Company’s preferred stock, par value $.01 per share (the “Preferred Stock”);
|
(4) |
warrants issued by the Company (the “Warrants”);
|
(5) |
depositary shares issued by the Company (the “Depositary Shares”);
|
(5) |
purchase contracts issued by the Company (the “Purchase Contracts”);
|
(7) |
units comprised of Debt Securities, shares of Common Stock, shares of Preferred Stock, Warrants, Depositary Shares, Purchase Contracts, Guarantees (as defined below), debt securities of third parties (including U.S. Treasury securities) or
any combination thereof (the “Units”);
|
(8) |
guarantees of the Debt Securities (the “Guarantees”) issued by one or more of the Subsidiary Guarantors; and
|
(9) |
an indeterminate amount of Debt Securities, shares of Common Stock, shares of Preferred Stock, Warrants, Depositary Shares, Purchase Contracts, Units and Guarantees as may be issued upon settlement, exercise, conversion or exchange of any
of the foregoing securities, including such indeterminate amount of such securities as may be issued pursuant to any applicable anti-dilution adjustment (collectively, the “Issuable Securities” and, together with the Debt Securities, Common
Stock, Preferred Stock, Warrants, Depositary Shares, Purchase Contracts, Units and Guarantees, the “Securities”).
|
Yours truly,
|
|
/s/ K&L Gates LLP
|
Subsidiary Guarantor
|
Jurisdiction of Formation
|
|
GE Transportation, a Wabtec Company
|
Delaware
|
|
RFPC Holding Corp.
|
Delaware
|
|
Schaeffer Equipment, Inc.
|
Ohio
|
|
Standard Car Truck Company
|
Delaware
|
|
Transportation Systems Services Operations Inc.
|
Nevada
|
|
Wabtec Holding Corp.
|
Delaware
|
|
Wabtec Railway Electronics, Inc.
|
Delaware
|
|
Wabtec Railway Electronics Manufacturing, Inc.
|
Delaware
|
|
Wabtec Transportation Systems, LLC
|
Delaware
|
|
Workhorse Rail, LLC
|
Pennsylvania
|
A National Banking Association
|
94-1347393
|
(Jurisdiction of incorporation or
|
(I.R.S. Employer
|
organization if not a U.S. national bank)
|
Identification No.)
|
101 North Phillips Avenue
|
|
Sioux Falls, South Dakota
|
57104
|
(Address of principal executive offices)
|
(Zip code)
|
Delaware
|
25-1615902
|
(State or other jurisdiction of
|
(I.R.S. Employer
|
incorporation or organization)
|
Identification No.)
|
30 Isabella Street
|
|
Pittsburgh, Pennsylvania
|
15212
|
(Address of principal executive offices)
|
(Zip code)
|
Exact Name of Registrant as Specified in its Charter and Address, Including Zip Code, and Telephone Number, Including Area Code, of Registrant’s Principal Executive Offices*
|
State or Other Jurisdiction Of Incorporation
|
I.R.S. Employer
Identification Number
|
Primary Standard
Industrial
Classification Code
|
|||
GE Transportation, a Wabtec Company
|
Delaware
|
83-0543909
|
3743
|
|||
RFPC Holding Corp.
|
Delaware
|
51-0345158
|
3743
|
|||
Schaefer Equipment, Inc.
|
Ohio
|
25-0777620
|
3743
|
|||
Standard Car Truck Company
|
Delaware
|
36-2704499
|
3743
|
|||
Transportation IP Holdings, LLC
|
Delaware
|
06-1554217
|
3743
|
|||
Transportation Systems Services Operations Inc.
|
Nevada
|
06-1105824
|
3743
|
|||
Wabtec Holding Corp.
|
Delaware
|
23-2870660
|
3743
|
|||
Wabtec Railway Electronics Holdings, LLC
|
Delaware
|
N/A
|
3743
|
|||
Wabtec Transportation Systems, LLC
|
Delaware
|
N/A
|
3743
|
|||
Workhorse Rail, LLC
|
Pennsylvania
|
77-0635262
|
3743
|
(a) |
Name and address of each examining or supervising authority to which it is subject.
|
(b) |
Whether it is authorized to exercise corporate trust powers.
|
Exhibit 1.
|
A copy of the Articles of Association of the trustee now in effect.*
|
|
Exhibit 2.
|
A copy of the Comptroller of the Currency Certificate of Corporate Existence for Wells Fargo Bank, National Association, dated January 14, 2015.*
|
|
Exhibit 3.
|
A copy of the Comptroller of the Currency Certification of Fiduciary Powers for Wells Fargo Bank, National Association, dated January 6, 2014.*
|
|
Exhibit 4.
|
Copy of By-laws of the trustee as now in effect.*
|
|
Exhibit 5.
|
Not applicable.
|
|
Exhibit 6.
|
The consent of the trustee required by Section 321(b) of the Act.
|
|
Exhibit 7.
|
A copy of the latest report of condition of the trustee published pursuant to law or the requirements of its supervising or examining authority.
|
|
Exhibit 8.
|
Not applicable.
|
|
Exhibit 9.
|
Not applicable.
|
WELLS FARGO BANK, NATIONAL ASSOCIATION
|
|
_/s/ Stefan Victory
|
|
Stefan Victory
|
|
Vice President
|
Very truly yours,
|
|
WELLS FARGO BANK, NATIONAL ASSOCIATION
|
|
_/s/ Stefan Victory
|
|
Stefan Victory
|
|
Vice President
|
Dollar Amounts
In Millions
|
||
ASSETS
|
||
Cash and balances due from depository institutions:
|
||
Noninterest-bearing balances and currency and coin
|
$21,745
|
|
Interest-bearing balances
|
123,531
|
|
Securities:
|
||
Held-to-maturity securities
|
169,848
|
|
Available-for-sale securities
|
242,111
|
|
Equity Securities with readily determinable fair value not held for trading
|
122
|
|
Federal funds sold and securities purchased under agreements to resell:
|
||
Federal funds sold in domestic offices
|
82
|
|
Securities purchased under agreements to resell
|
58,438
|
|
Loans and lease financing receivables:
|
||
Loans and leases held for sale
|
14,855
|
|
Loans and leases, net of unearned income
|
968,033 |
|
LESS: Allowance for loan and lease losses
|
10,893 |
|
Loans and leases, net of unearned income and allowance
|
957,140
|
|
Trading Assets
|
58,848
|
|
Premises and fixed assets (including capitalized leases)
|
11,733
|
|
Other real estate owned
|
235
|
|
Investments in unconsolidated subsidiaries and associated companies
|
13,202
|
|
Direct and indirect investments in real estate ventures
|
12
|
|
Intangible assets
|
32,598
|
|
Other assets
|
59,196
|
|
|
||
Total assets
|
$1,763,696
|
|
LIABILITIES
|
||
Deposits:
|
||
In domestic offices
|
$1,403,302
|
|
Noninterest-bearing
|
452,458 |
|
Interest-bearing
|
950,844 |
|
In foreign offices, Edge and Agreement subsidiaries, and IBFs
|
44,243
|
|
Noninterest-bearing
|
858 |
|
Interest-bearing
|
43,385 |
|
Federal funds purchased and securities sold under agreements to repurchase:
|
||
Federal funds purchased in domestic offices
|
2,055
|
|
Securities sold under agreements to repurchase
|
6,389
|
Dollar Amounts In Millions
|
||
Trading liabilities
|
15,841
|
|
Other borrowed money
|
||
(Includes mortgage indebtedness and obligations under capitalized leases)
|
76,704
|
|
Subordinated notes and debentures
|
12,499
|
|
Other liabilities
|
32,411
|
|
|
||
Total liabilities
|
$1,593,444
|
|
EQUITY CAPITAL
|
||
Perpetual preferred stock and related surplus
|
0
|
|
Common stock
|
519
|
|
Surplus (exclude all surplus related to preferred stock)
|
114,728
|
|
Retained earnings
|
54,130
|
|
Accumulated other comprehensive income
|
844
|
|
Other equity capital components
|
0
|
|
|
||
Total bank equity capital
|
170,221
|
|
Noncontrolling (minority) interests in consolidated subsidiaries
|
31
|
|
Total equity capital
|
170,252
|
|
|
||
Total liabilities, and equity capital
|
$1,763,696
|
John R. Shrewsberry
|
|
Sr. EVP & CFO
|
Directors
|
|
Maria R. Morris |
|
Theodore F. Craver, Jr. | |
Juan A. Pujadas |
A National Banking Association
|
94-1347393
|
(Jurisdiction of incorporation or
|
(I.R.S. Employer
|
organization if not a U.S. national bank)
|
Identification No.)
|
101 North Phillips Avenue
|
|
Sioux Falls, South Dakota
|
57104
|
(Address of principal executive offices)
|
(Zip code)
|
Delaware
|
25-1615902
|
(State or other jurisdiction of
|
(I.R.S. Employer
|
incorporation or organization)
|
Identification No.)
|
30 Isabella Street
|
|
Pittsburgh, Pennsylvania
|
15212
|
(Address of principal executive offices)
|
(Zip code)
|
Exact Name of Registrant as Specified in its Charter and Address, Including Zip Code, and Telephone Number, Including Area Code, of Registrant’s Principal Executive Offices*
|
State or Other Jurisdiction Of Incorporation
|
I.R.S. Employer
Identification Number
|
Primary Standard
Industrial
Classification Code
|
|||
GE Transportation, a Wabtec Company
|
Delaware
|
83-0543909
|
3743
|
|||
RFPC Holding Corp.
|
Delaware
|
51-0345158
|
3743
|
|||
Schaefer Equipment, Inc.
|
Ohio
|
25-0777620
|
3743
|
|||
Standard Car Truck Company
|
Delaware
|
36-2704499
|
3743
|
|||
Transportation IP Holdings, LLC
|
Delaware
|
06-1554217
|
3743
|
|||
Transportation Systems Services Operations Inc.
|
Nevada
|
06-1105824
|
3743
|
|||
Wabtec Holding Corp.
|
Delaware
|
23-2870660
|
3743
|
|||
Wabtec Railway Electronics Holdings, LLC
|
Delaware
|
N/A
|
3743
|
|||
Wabtec Transportation Systems, LLC
|
Delaware
|
N/A
|
3743
|
|||
Workhorse Rail, LLC
|
Pennsylvania
|
77-0635262
|
3743
|
(a) |
Name and address of each examining or supervising authority to which it is subject.
|
(b) |
Whether it is authorized to exercise corporate trust powers.
|
Exhibit 1.
|
A copy of the Articles of Association of the trustee now in effect.*
|
|
Exhibit 2.
|
A copy of the Comptroller of the Currency Certificate of Corporate Existence for Wells Fargo Bank, National Association, dated January 14, 2015.*
|
|
Exhibit 3.
|
A copy of the Comptroller of the Currency Certification of Fiduciary Powers for Wells Fargo Bank, National Association, dated January 6, 2014.*
|
|
Exhibit 4.
|
Copy of By-laws of the trustee as now in effect.*
|
|
Exhibit 5.
|
Not applicable.
|
|
Exhibit 6.
|
The consent of the trustee required by Section 321(b) of the Act.
|
|
Exhibit 7.
|
A copy of the latest report of condition of the trustee published pursuant to law or the requirements of its supervising or examining authority.
|
|
Exhibit 8.
|
Not applicable.
|
|
Exhibit 9.
|
Not applicable.
|
WELLS FARGO BANK, NATIONAL ASSOCIATION
|
|
_/s/ Stefan Victory
|
|
Stefan Victory
|
|
Vice President
|
Very truly yours,
|
|
WELLS FARGO BANK, NATIONAL ASSOCIATION
|
|
_/s/ Stefan Victory
|
|
Stefan Victory
|
|
Vice President
|
Dollar Amounts
In Millions
|
||
ASSETS
|
||
Cash and balances due from depository institutions:
|
||
Noninterest-bearing balances and currency and coin
|
$21,745
|
|
Interest-bearing balances
|
123,531
|
|
Securities:
|
||
Held-to-maturity securities
|
169,848
|
|
Available-for-sale securities
|
242,111
|
|
Equity Securities with readily determinable fair value not held for trading
|
122
|
|
Federal funds sold and securities purchased under agreements to resell:
|
||
Federal funds sold in domestic offices
|
82
|
|
Securities purchased under agreements to resell
|
58,438
|
|
Loans and lease financing receivables:
|
||
Loans and leases held for sale
|
14,855
|
|
Loans and leases, net of unearned income
|
968,033 |
|
LESS: Allowance for loan and lease losses
|
10,893 |
|
Loans and leases, net of unearned income and allowance
|
957,140
|
|
Trading Assets
|
58,848
|
|
Premises and fixed assets (including capitalized leases)
|
11,733
|
|
Other real estate owned
|
235
|
|
Investments in unconsolidated subsidiaries and associated companies
|
13,202
|
|
Direct and indirect investments in real estate ventures
|
12
|
|
Intangible assets
|
32,598
|
|
Other assets
|
59,196
|
|
|
||
Total assets
|
$1,763,696
|
|
LIABILITIES
|
||
Deposits:
|
||
In domestic offices
|
$1,403,302
|
|
Noninterest-bearing
|
452,458 |
|
Interest-bearing
|
950,844 |
|
In foreign offices, Edge and Agreement subsidiaries, and IBFs
|
44,243
|
|
Noninterest-bearing
|
858 |
|
Interest-bearing
|
43,385 |
|
Federal funds purchased and securities sold under agreements to repurchase:
|
||
Federal funds purchased in domestic offices
|
2,055
|
|
Securities sold under agreements to repurchase
|
6,389
|
Dollar Amounts In Millions
|
||
Trading liabilities
|
15,841
|
|
Other borrowed money
|
||
(Includes mortgage indebtedness and obligations under capitalized leases)
|
76,704
|
|
Subordinated notes and debentures
|
12,499
|
|
Other liabilities
|
32,411
|
|
|
||
Total liabilities
|
$1,593,444
|
|
EQUITY CAPITAL
|
||
Perpetual preferred stock and related surplus
|
0
|
|
Common stock
|
519
|
|
Surplus (exclude all surplus related to preferred stock)
|
114,728
|
|
Retained earnings
|
54,130
|
|
Accumulated other comprehensive income
|
844
|
|
Other equity capital components
|
0
|
|
|
||
Total bank equity capital
|
170,221
|
|
Noncontrolling (minority) interests in consolidated subsidiaries
|
31
|
|
Total equity capital
|
170,252
|
|
|
||
Total liabilities, and equity capital
|
$1,763,696
|
John R. Shrewsberry
|
|
Sr. EVP & CFO
|
Directors
|
|
Maria R. Morris |
|
Theodore F. Craver, Jr. | |
Juan A. Pujadas |
A National Banking Association
|
94-1347393
|
(Jurisdiction of incorporation or
|
(I.R.S. Employer
|
organization if not a U.S. national bank)
|
Identification No.)
|
101 North Phillips Avenue
|
|
Sioux Falls, South Dakota
|
57104
|
(Address of principal executive offices)
|
(Zip code)
|
Delaware
|
25-1615902
|
(State or other jurisdiction of
|
(I.R.S. Employer
|
incorporation or organization)
|
Identification No.)
|
30 Isabella Street
|
|
Pittsburgh, Pennsylvania
|
15212
|
(Address of principal executive offices)
|
(Zip code)
|
Exact Name of Registrant as Specified in its Charter and Address, Including Zip Code, and Telephone Number, Including Area Code, of Registrant’s Principal Executive Offices*
|
State or Other Jurisdiction Of Incorporation
|
I.R.S. Employer
Identification Number
|
Primary Standard
Industrial
Classification Code
|
|||
GE Transportation, a Wabtec Company
|
Delaware
|
83-0543909
|
3743
|
|||
RFPC Holding Corp.
|
Delaware
|
51-0345158
|
3743
|
|||
Schaefer Equipment, Inc.
|
Ohio
|
25-0777620
|
3743
|
|||
Standard Car Truck Company
|
Delaware
|
36-2704499
|
3743
|
|||
Transportation IP Holdings, LLC
|
Delaware
|
06-1554217
|
3743
|
|||
Transportation Systems Services Operations Inc.
|
Nevada
|
06-1105824
|
3743
|
|||
Wabtec Holding Corp.
|
Delaware
|
23-2870660
|
3743
|
|||
Wabtec Railway Electronics Holdings, LLC
|
Delaware
|
N/A
|
3743
|
|||
Wabtec Transportation Systems, LLC
|
Delaware
|
N/A
|
3743
|
|||
Workhorse Rail, LLC
|
Pennsylvania
|
77-0635262
|
3743
|
(a) |
Name and address of each examining or supervising authority to which it is subject.
|
(b) |
Whether it is authorized to exercise corporate trust powers.
|
Exhibit 1.
|
A copy of the Articles of Association of the trustee now in effect.*
|
|
Exhibit 2.
|
A copy of the Comptroller of the Currency Certificate of Corporate Existence for Wells Fargo Bank, National Association, dated January 14, 2015.*
|
|
Exhibit 3.
|
A copy of the Comptroller of the Currency Certification of Fiduciary Powers for Wells Fargo Bank, National Association, dated January 6, 2014.*
|
|
Exhibit 4.
|
Copy of By-laws of the trustee as now in effect.*
|
|
Exhibit 5.
|
Not applicable.
|
|
Exhibit 6.
|
The consent of the trustee required by Section 321(b) of the Act.
|
|
Exhibit 7.
|
A copy of the latest report of condition of the trustee published pursuant to law or the requirements of its supervising or examining authority.
|
|
Exhibit 8.
|
Not applicable.
|
|
Exhibit 9.
|
Not applicable.
|
WELLS FARGO BANK, NATIONAL ASSOCIATION
|
|
_/s/ Stefan Victory
|
|
Stefan Victory
|
|
Vice President
|
Very truly yours,
|
|
WELLS FARGO BANK, NATIONAL ASSOCIATION
|
|
_/s/ Stefan Victory
|
|
Stefan Victory
|
|
Vice President
|
Dollar Amounts
In Millions
|
||
ASSETS
|
||
Cash and balances due from depository institutions:
|
||
Noninterest-bearing balances and currency and coin
|
$21,745
|
|
Interest-bearing balances
|
123,531
|
|
Securities:
|
||
Held-to-maturity securities
|
169,848
|
|
Available-for-sale securities
|
242,111
|
|
Equity Securities with readily determinable fair value not held for trading
|
122
|
|
Federal funds sold and securities purchased under agreements to resell:
|
||
Federal funds sold in domestic offices
|
82
|
|
Securities purchased under agreements to resell
|
58,438
|
|
Loans and lease financing receivables:
|
||
Loans and leases held for sale
|
14,855
|
|
Loans and leases, net of unearned income
|
968,033 |
|
LESS: Allowance for loan and lease losses
|
10,893 |
|
Loans and leases, net of unearned income and allowance
|
957,140
|
|
Trading Assets
|
58,848
|
|
Premises and fixed assets (including capitalized leases)
|
11,733
|
|
Other real estate owned
|
235
|
|
Investments in unconsolidated subsidiaries and associated companies
|
13,202
|
|
Direct and indirect investments in real estate ventures
|
12
|
|
Intangible assets
|
32,598
|
|
Other assets
|
59,196
|
|
|
||
Total assets
|
$1,763,696
|
|
LIABILITIES
|
||
Deposits:
|
||
In domestic offices
|
$1,403,302
|
|
Noninterest-bearing
|
452,458 |
|
Interest-bearing
|
950,844 |
|
In foreign offices, Edge and Agreement subsidiaries, and IBFs
|
44,243
|
|
Noninterest-bearing
|
858 |
|
Interest-bearing
|
43,385 |
|
Federal funds purchased and securities sold under agreements to repurchase:
|
||
Federal funds purchased in domestic offices
|
2,055
|
|
Securities sold under agreements to repurchase
|
6,389
|
Dollar Amounts In Millions
|
||
Trading liabilities
|
15,841
|
|
Other borrowed money
|
||
(Includes mortgage indebtedness and obligations under capitalized leases)
|
76,704
|
|
Subordinated notes and debentures
|
12,499
|
|
Other liabilities
|
32,411
|
|
|
||
Total liabilities
|
$1,593,444
|
|
EQUITY CAPITAL
|
||
Perpetual preferred stock and related surplus
|
0
|
|
Common stock
|
519
|
|
Surplus (exclude all surplus related to preferred stock)
|
114,728
|
|
Retained earnings
|
54,130
|
|
Accumulated other comprehensive income
|
844
|
|
Other equity capital components
|
0
|
|
|
||
Total bank equity capital
|
170,221
|
|
Noncontrolling (minority) interests in consolidated subsidiaries
|
31
|
|
Total equity capital
|
170,252
|
|
|
||
Total liabilities, and equity capital
|
$1,763,696
|
John R. Shrewsberry
|
|
Sr. EVP & CFO
|
Directors
|
|
Maria R. Morris |
|
Theodore F. Craver, Jr. | |
Juan A. Pujadas |