AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON MAY 24, 2002
REGISTRATION NO. 333-_____
===============================================================================
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
------------
FORM S-8
REGISTRATION STATEMENT
UNDER THE
SECURITIES ACT OF 1933
------------
WESTINGHOUSE AIR BRAKE TECHNOLOGIES CORPORATION
(EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER)
DELAWARE 25-1615902
(State or Other Jurisdiction of (I.R.S. Employer
Incorporation or Organization) Identification No.)
1001 AIR BRAKE AVENUE
WILMERDING, PA 15148
(412) 825-1000
(Address, including Zip Code, and Telephone Number,
including Area Code, of Registrant's Principal Executive Offices)
WESTINGHOUSE AIR BRAKE COMPANY
EMPLOYEE STOCK OWNERSHIP PLAN
(Full Title of the Plan)
ROBERT J. BROOKS
EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER, SECRETARY
WESTINGHOUSE AIR BRAKE TECHNOLOGIES CORPORATION
1001 AIR BRAKE AVENUE
WILMERDING, PA 15148
(412) 825-1000
(Name, Address, including Zip Code, and Telephone Number,
including Area Code, of Agent For Service)
COPY TO:
DAVID L. DENINNO, ESQ.
REED SMITH LLP
435 SIXTH AVENUE
PITTSBURGH, PA 15219
(412) 288-3214
------------------
CALCULATION OF REGISTRATION FEE
==============================================================================================================================
Title of each class of Proposed Proposed Amount of
Securities to be Amount to be Maximum Offering Maximum Aggregate Registration
Registered Registered (1) Price per share Offering Price (2) Fee (2)
- ------------------------------------------------------------------------------------------------------------------------------
Common Stock $1.00 per share 875,790 $14.125 $12,370,533 $1,138.09
(1) Plus such indeterminate number of shares pursuant to Rule 416 as
may be issued in respect of stock splits, stock dividends and similar
transactions.
(2) Estimated pursuant to Rule 457(h)of the Securities Act of 1933
solely for purpose of calculating the registration fee. The proposed maximum
aggregate offering price and the registration fee are based upon the average of
the high and low prices per share of the Registrant's Common Stock reported on
the New York Stock Exchange Composite transactions listing for May 17, 2002 as
quoted in the Wall Street Journal.
===============================================================================
EXPLANATORY NOTE
This registration statement is being filed solely for purposes of registering
the shares for resale by the selling stockholders. The reoffer prospectus which
is filed as a part of this registration statement has been prepared in
accordance with the requirements of Form S-3, and pursuant to General
Instruction C of Form S-8 may be used for reoffers or resales of the shares that
have been acquired by the selling stockholders.
REOFFER PROSPECTUS
WESTINGHOUSE AIR BRAKE TECHNOLOGIES CORPORATION
875,790 SHARES OF COMMON STOCK
PAR VALUE $.01 PER SHARE
This prospectus relates to the resale of up to 875,790 shares of Common
Stock, par value $.01 per share, of Westinghouse Air Brake Technologies
Corporation (Wabtec), which have been disbributed to certain of our employees
who are participants in the Westinghouse Air Brake Company Employee Stock
Ownership Plan. These participants, all of whom are named in this prospectus,
may sell for their own accounts up to 875,790 shares of our Common Stock
acquired from participation in the ESOP. Such sales will be conducted by
Fidelity Management Trust Company, the trustee of the Wabtec Stock Fund that
holds the shares. We will not receive any of the proceeds from such sales.
The selling stockholders propose to sell the shares from time to time
in transactions occurring on the New York Stock Exchange at prevailing market
prices. Sales may be made through brokers or to dealers, who are expected to
receive customary commissions or discounts.
The Common Stock is traded on the New York Stock Exchange under the
symbol "WAB." On May 17, 2002, the closing price of the Common Stock on the
Exchange was $14.15 per share.
The principal executive offices of the Company are located at 1001 Air
Brake Avenue, Wilmerding, PA 15148, telephone number (412) 825-1000.
Investing in our Common Stock involves a high degree of risk. You
should carefully consider risks relating to our Common Stock. See "Risk Factors"
beginning on page 5.
Neither the Securities and Exchange Commission nor any state securities
commission has approved or disapproved of these securities or determined if this
prospectus is truthful or complete. Any representation to the contrary is a
criminal offense.
The date of this prospectus is May 24, 2002
TABLE OF CONTENTS
Page
Where You Can Find More Information............................................................3
Forward-Looking Statements.....................................................................4
Risk Factors...................................................................................5
The Company....................................................................................6
Use of Proceeds................................................................................6
Selling Stockholders...........................................................................6
Plan of Distribution...........................................................................38
Experts........................................................................................39
Disclosure of Commission Position on Indemnification for Securities Act Liabilities............39
YOU SHOULD ONLY RELY ON THE INFORMATION INCORPORATED BY REFERENCE OR PROVIDED IN
THIS PROSPECTUS OR ANY SUPPLEMENT. WE HAVE NOT AUTHORIZED ANYONE ELSE TO PROVIDE
YOU WITH DIFFERENT INFORMATION. THE COMMON STOCK IS NOT BEING OFFERED IN ANY
STATE WHERE THE OFFER IS NOT PERMITTED. YOU SHOULD NOT ASSUME THAT THE
INFORMATION IN THIS PROSPECTUS OR ANY SUPPLEMENT IS ACCURATE AS OF ANY DATE
OTHER THAN THE DATE ON THE FRONT OF THOSE DOCUMENTS.
-2-
WHERE YOU CAN FIND MORE INFORMATION
We file annual and quarterly reports, proxy statements and other
information required by the Securities Exchange Act of 1934, as amended, with
the Securities and Exchange Commission. You may read and copy any of these filed
documents at the SEC's public reference rooms located at 450 Fifth Street, N.W.,
Washington, D.C. 20549. Please call the SEC at 1-800-SEC-0330 for further
information on the public reference rooms. Our SEC filings are also available to
the public from the SEC's web site at http://www.sec.gov. Copies of certain of
these documents are also available on our web site at http://www.wabtec.com.
Copies of these reports, proxy statements and other information can also be
inspected at the offices of the New York Stock Exchange, 20 Broad Street, New
York, New York 10005.
We have filed with the SEC a registration statement on Form S-8 under
the Securities Act of 1933, as amended, with respect to the Common Stock. This
prospectus, which constitutes a part of that registration statement, does not
include all the information contained in that registration statement and its
exhibits. For further information with respect to the Company and the Common
Stock, you should consult the registration statement and its exhibits.
Statements contained in this prospectus concerning the provisions of any
documents are necessarily summaries of those documents, and each statement is
qualified in its entirety by reference to the copy of the document filed with
the SEC. The registration statement and any of its amendments, including
exhibits filed as a part of the registration statement or an amendment to the
registration statement, are available for inspection and copying through the
entities listed above.
The SEC allows us to incorporate by reference the information that we
file with them, which means that we can disclose important information to you by
referring you to the other information we have filed with the SEC. The
information that we incorporate by reference is considered to be part of this
prospectus. Information that we file later with the SEC will automatically
update and supersede this information.
The following documents filed by us with the Securities and Exchange
Commission (File No. 1-13782) are hereby incorporated in this registration
statement by reference and made a part of this registration statement:
(a) the Annual Report on Form 10-K for the year ended December
31, 2001 filed pursuant to Section 13(a) of the Securities Exchange Act
of 1934, as amended;
(b) all other reports filed by us pursuant to Section 13(a) of
the Exchange Act since the end of the fiscal year covered by the Annual
Report on Form 10-K referred to above; and
(c) the description of the Company's Common Stock set forth in
the Company's Form 8-A filed May 19, 1995 and any description of the
Common Stock which is contained in a later registration statement filed
by the Company pursuant to the Exchange Act, including any amendment or
report filed for the purpose of updating such descriptions.
We will provide to you without charge, a copy of any or all documents
incorporated by reference into this prospectus except the exhibits to such
documents (unless such exhibits are specifically incorporated by reference in
such documents). You may request copies by writing or telephoning us at our
Investor Relations Department, Westinghouse Air Brake Technologies Corporation,
1001 Air Brake Avenue, Wilmerding, Pennsylvania 15148; Telephone Number (412)
825-1000.
-3-
FORWARD-LOOKING STATEMENTS
Certain statements included in or incorporated by reference into this
prospectus including (without limitation) certain matters discussed under "Legal
Proceedings," "Management's Discussion and Analysis of Financial Condition and
Results of Operations" and "Quantitative and Qualitative Disclosures about
Market Risk" included in or incorporated by reference in our Annual Report on
Form 10-K for the fiscal year ended December 31, 2001, which has been filed with
the SEC, are "forward-looking statements" within the meaning of the Private
Securities Litigation Reform Act of 1995. Such forward-looking statements
concerning management's expectations, strategic objectives, business prospects,
anticipated economic performance and financial condition and other similar
matters are subject to risks and uncertainties, which could cause actual results
to differ materially from those discussed in the forward-looking statements.
Forward-looking statements speak only as of the date of the document in which
they are made. We disclaim any obligation or undertaking to provide any updates
or revisions to any forward-looking statement to reflect any change in our
expectations or any change in events, conditions or circumstances on which the
forward-looking statement is based.
-4-
RISK FACTORS
This offering involves a high degree of risk. You should carefully
consider the risks involved before acquiring our Common Stock.
These risks, uncertainties and assumptions about us, include,
among other things:
Economic and Industry Conditions
- materially adverse changes in economic or industry
conditions generally or in the markets served by us,
including North America, South America, Europe,
Australia and Asia;
- demand for services in the freight and passenger rail
industry;
- consolidations in the rail industry;
- demand for our products and services;
- continued outsourcing by our customers;
- demand for freight cars, locomotives, passenger transit
cars and buses;
- industry demand for faster and more efficient braking
equipment;
- fluctuations in interest rates;
Operating Factors
- supply disruptions;
- technical difficulties;
- changes in operating conditions and costs;
- successful introduction of new products;
- labor relations;
- completion and integration of additional acquisitions;
- the development and use of new technology;
Competitive Factors
- the actions of competitors;
Political/Governmental Factors
- political stability in relevant areas of the world;
- future regulation/deregulation of our customers and/or
the rail industry;
- governmental funding for some of our customers;
- political developments and laws and regulations, such
as forced divestiture of assets, restrictions on
production, imports or exports, price controls, tax
increases and retroactive tax claims, expropriation of
property, cancellation of contract rights, and
environmental regulations; and
Transaction or Commercial Factors
- the outcome of negotiations with partners, governments,
suppliers, customers or others.
-5-
THE COMPANY
All references to "we," "our," "us," the "Company" and "Wabtec" refer
to Westinghouse Air Brake Technologies Corporation, a Delaware corporation doing
business as Wabtec, and its subsidiaries. The Company was formed from the
November 1999 merger of Westinghouse Air Brake Company (WABCO) and MotivePower
Industries, Inc. WABCO has its origin in a business founded by George
Westinghouse in 1869.
Wabtec is one of North America's largest providers of value-added,
technology-based equipment and services for the rail industry. The Company's
products can be found on virtually all U.S. locomotives, freight cars and
passenger transit vehicles. The Company is based in Wilmerding, Pa., and has
4,436 employees at facilities throughout North America and around the world.
The Company believes that it maintains a market share in excess of 50%
in North America for its primary braking-related equipment, and significant
market shares in North America for its other principal products. Wabtec also
sells products in Europe, Africa, Australia, South America and Asia. The
Company's products, which are intended to enhance safety, improve productivity
and reduce maintenance costs for customers, include the following: air brakes,
electronic controls and monitors, cooling equipment, low-horsepower locomotives,
couplers, door controls, draft gears and brake shoes. The Company aggressively
pursues technological advances for both new product development and product
enhancements.
USE OF PROCEEDS
We will not receive any of the proceeds from the sale by the selling
shareholders of the Common Stock covered by this prospectus.
SELLING STOCKHOLDERS
This prospectus relates to shares of Common Stock that have been
acquired by the selling stockholders named below pursuant to our Employee Stock
Ownership Plan.
Each of the selling stockholders is an employee of the Company or one
of its subsidiaries. The following table sets forth:
o the name and principal position or positions over the past three
years with the Company of each selling stockholder;
o the number of shares of Common Stock each selling stockholder
beneficially owned as of March 25, 2002;
o the number of shares of Common Stock acquired by each selling
stockholder pursuant to the Plan and being registered under this
registration statement, some or all of which shares may be sold
pursuant to this prospectus; and
o the number of shares of Common Stock and the percentage, if 1% or
more, of the total class of Common Stock outstanding to be beneficially
owned by each selling stockholder following this offering, assuming the
sale pursuant to this offering of all shares acquired by such selling
stockholder pursuant to the Plan and registered under this registration
statement.
There is no assurance that any of the selling stockholders will sell
any or all of the shares offered by them under this registration statement. The
address of each selling stockholder is c/o Westinghouse Air Brake Technologies
Corporation, 1001 Air Brake Avenue, Wilmerding, Pennsylvania , 15148 or Fidelity
Management Trust Company, 300 Puritan Way, MM3H, Marlborough, MA 01752-3078.
This table reflects all selling stockholders who are eligible to resell
and the number of shares available to be resold for the account of such selling
stockholders.
-6-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2)(3) Prospectus Number Percent
------------------------------ ------------------------- ---------- ------ -------
Gregory T. H. Davies 46801.0000 1970.7620 44830 *
Chief Executive Officer
Emilio Fernandez 670129.0000(4) 1137.2990 671266(4) 1.55%
Director
Alvaro Garcia-Tunon 20913.0000 3113.0850 17800 *
Senior Vice President, Finance
Paul E. Golden 3916.0000 858.3730 3058 *
Executive Vice President, Freight
Timothy J. Logan 10657.0000 2837.1820 7820 *
Vice President, International
George A. Socher 8630.0000 2806.8350 5823 *
Vice President, Audit and Tax
Ernest E. Miller 37.5080 37.5080 0 *
Donald Hart 49.3690 49.3690 0 *
Richard Lentini .3510 .3510 0 *
Michael Silva 573.4140 573.4140 0 *
Catherine Sanchez 189.8070 189.8070 0 *
Christopher Call .0010 .0010 0 *
Robert A. Saunders .0070 .0070 0 *
Charles Nichols 900.0000 484.2240 416 *
Kevin L. Sawyer 138.3440 138.3440 0 *
John C. Blessing 168.6430 168.6430 0 *
Christopher James .0150 .0150 0 *
Cyrus Hosmer III 1333.8730 1333.8730 0 *
Robert Kalaw 156.2510 156.2510 0 *
Charles A. Dionne, Jr .0010 .0010 0 *
Barry L. Bradley 3.9170 3.9170 0 *
David G. Menhart 876.3190 876.3190 0 *
Stanley Lukasik 640.7420 640.7420 0 *
Thanh C. Pham 134.0000 .1570 133 *
Gregory Lee II .0330 .0330 0 *
Kevin Dorsey 574.7650 574.7650 0 *
Donald J. Glass 975.6300 975.6300 0 *
Amy B. Cox 488.6960 488.6960 0 *
Julie L. Reimer 1552.2570 1552.2570 0 *
Anthony Davidson 48.5120 48.5120 0 *
Robert P. Stabell 172.8600 172.8600 0 *
Roger Morse 39.8400 39.8400 0 *
Michael Sette 198.0670 198.0670 0 *
Edwin Vega .1460 .1460 0 *
Renee Schiek 337.1830 337.1830 0 *
Tammy L. Coryea 72.2230 72.2230 0 *
David Harris .0010 .0010 0 *
Michael Chateau 37.6560 37.6560 0 *
Sean Barber 32.8310 32.8310 0 *
Brian Harrigan .0100 .0100 0 *
Teresa A. Wethington .0530 .0530 0 *
Francis Garrow III 45.0040 45.0040 0 *
Susan L. Davison 99.7670 99.7670 0 *
George S. Brownell 495.5240 495.5240 0 *
Douglas C. Cavallo 544.9960 544.9960 0 *
Louis Hunter 57.1220 57.1220 0 *
Bruce W. Shute 2896.0000 2393.5850 503 *
Yefim Blinderman 560.0810 560.0810 0 *
-7-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2) Prospectus Number Percent
------------------------------ ---------------------- ---------- ------ -------
Gary M. Rock 66.5820 66.5820 0 *
William J. Tillinghast 1298.4380 1298.4380 0 *
Melanie Draper 110.1560 110.1560 0 *
Richard Neyer 43.9230 43.9230 0 *
David Kinter 43.5120 43.5120 0 *
Robert E. Galbraith .0680 .0680 0 *
Frank V. Damico .0010 .0010 0 *
Thomas P. Gurecki 88.0890 88.0890 0 *
Donald W. Gangemella 3.9450 3.9450 0 *
Carol Andre 44.3850 44.3850 0 *
Bonnie Sponable 15.4010 15.4010 0 *
William Tedford .0260 .0260 0 *
Lisa M. Imhoff 97.8970 97.8970 0 *
David McDonald 48.3710 48.3710 0 *
Rochon Johnson 24.0940 24.0940 0 *
Darin S. Grzenda 995.1090 995.1090 0 *
James Pontious, Jr. .2910 .2910 0 *
Keith H. Ashline .0700 .0700 0 *
Jason M. Lavalley 91.2900 91.2900 0 *
Shawn Simonds 794.0000 594.1740 200 *
David H. Offen 3017.0000 1508.8450 1508 *
Robert Baker 26.1120 26.1120 0 *
Christopher Curry .0260 .0260 0 *
Edmond J. Hart, III 70.4390 70.4390 0 *
Keith Tacy 33.1470 33.1470 0 *
Allan D. Stoner .0300 .0300 0 *
Brian L. Wilson 47.3510 47.3510 0 *
David Costin 42.1410 42.1410 0 *
Jayson Gowett 34.7500 34.7500 0 *
Jamshaid Ullah 697.1500 697.1500 0 *
Lee R. Charity 2465.0580 2465.0580 0 *
Leo Sushan 816.3980 816.3980 0 *
Harry J. Kelly 2103.2220 2103.2220 0 *
Jeffrey Chateau .0260 .0260 0 *
Rene J. Burdo 202.7690 202.7690 0 *
Simon English 15.3860 15.3860 0 *
Chris Gowette 35.4490 35.4490 0 *
Joseph S. Hall 235.6340 235.6340 0 *
Chantel Malpass 54.0070 54.0070 0 *
Mike Reyell 47.9980 47.9980 0 *
Robert Fountain, Jr. 40.4930 40.4930 0 *
David J. Calabrese 685.0000 342.8580 342 *
John Gruber 14.1220 14.1220 0 *
Benjamin J. Smith 205.4770 205.4770 0 *
Alexsander Demin 11.7670 11.7670 0 *
William D. Winton .4590 .4590 0 *
John Payant 52.6390 52.6390 0 *
Michael V. Kazakis 2183.4240 2183.4240 0 *
Timothy Thompson 36.0000 36.0000 0 *
Nathen Colvin .0220 .0220 0 *
Eldon Eady 2292.1770 2292.1770 0 *
William G. Larock 162.1930 162.1930 0 *
Wayne G. Modeste 176.8950 176.8950 0 *
John J. Novotny, Sr. 401.4560 401.4560 0 *
-8-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2) Prospectus Number Percent
------------------------------ ---------------------- ---------- ------ -------
Mark B. Crossman, Jr. 399.5910 399.5910 0 *
James McConnell, Jr. 43.4480 43.4480 0 *
Vincent R. Ryman 656.4680 656.4680 0 *
Babatunde Ayanda .1200 .1200 0 *
Marilyn G. Desmond .1830 .1830 0 *
David Raley 606.9750 606.9750 0 *
Mei Chern .0620 .0620 0 *
Barbara E. Harrigan 132.0000 .0940 132 *
David Murray .2370 .2370 0 *
Frank Rodriguez 281.5990 281.5990 0 *
Probir K. Basu 755.5550 755.5550 0 *
Christopher Parent 19.6530 19.6530 0 *
Stephen Livsey 66.4930 66.4930 0 *
Harold J. Coolidge, Jr. 31.9660 31.9660 0 *
David L. Gregg, Sr. .0010 .0010 0 *
David Prior 55.2120 55.2120 0 *
Patrick J. Bedard .0080 .0080 0 *
Earl Lemery 41.1090 41.1090 0 *
Ralph A. Coon Jr. .2420 .2420 0 *
Stanley Fredette 66.0000 57.5020 8 *
David Mulhall 303.7710 303.7710 0 *
Kevin Garrow .0360 .0360 0 *
John W. Cook 1330.8160 1330.8160 0 *
Joseph F. Formolo 4707.0000 2217.2110 2490 *
Robert Blakemore 245.2710 245.2710 0 *
William T. Molloy .1840 .1840 0 *
Joan Wells 137.1560 137.1560 0 *
Lewis A. Sorrese 7266.0000 2266.2950 5000 *
Gary St. John 444.9960 444.9960 0 *
John Sweeney 568.2180 568.2180 0 *
Chandresh Patel 169.3740 169.3740 0 *
Steve T. Kimling 1127.6730 1127.6730 0 *
Timothy L. Holmes 115.3290 115.3290 0 *
Lahouari Benslimane 95.2620 95.2620 0 *
Rodney Jackson 179.9900 179.9900 0 *
Marian Monte 635.1130 635.1130 0 *
Jay Dotter 673.6240 673.6240 0 *
Marcia Lisitski 24.7050 24.7050 0 *
Terrence E. Taylor 274.4520 274.4520 0 *
Ada M. Santiago 475.1130 475.1130 0 *
David R. Schatz 499.7450 499.7450 0 *
Al McNeil 203.8050 203.8050 0 *
Zoltan Kovacs 2407.0000 1783.4640 624 *
Guy Atkins 453.2080 453.2080 0 *
Erwin Villanueua 432.5970 432.5970 0 *
Ronald Riegler 1029.0560 1029.0560 0 *
Stewart W. Schickel .0010 .0010 0 *
Jesus M. Escobar 279.6350 279.6350 0 *
Kristina McCracken .0360 .0360 0 *
Paul M. Peterkin 90.4770 90.4770 0 *
Robert F. Baldwin 1693.7140 1693.7140 0 *
Richard M. Hisker 2254.6460 2254.6460 0 *
Thomas J. DeMoise 1861.6530 1861.6530 0 *
Paul E. Troy .0670 .0670 0 *
Joseph Bungo 281.3970 281.3970 0 *
-9-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2) Prospectus Number Percent
------------------------------ ---------------------- ---------- ------ -------
Roxann Davis 3.0950 3.0950 0 *
Norma Wier 174.0000 146.8210 27 *
Apolinario I. Balot Jr. 617.2880 617.2880 0 *
Edward J. Hartnett 1404.8660 1404.8660 0 *
James A. Wood 1928.5460 1928.5460 0 *
John G. Zoller 1264.9840 1264.9840 0 *
Ronald Newell 576.0530 576.0530 0 *
Sheryn Bachowski 220.9780 220.9780 0 *
Donald M. Linhart 1652.8770 1652.8770 0 *
Gerard Yorko 1527.0000 1420.6150 107 *
Carolina Ching 78.8350 78.8350 0 *
Steven C. Rumsey 2134.0000 2034.3200 100 *
Mervin W. Yates .0010 .0010 0 *
Robert Gingerich 303.1660 303.1660 0 *
Todd R. Shingleton 1482.7930 1482.7930 0 *
Kenneth R. Rovesti 1106.3540 1106.3540 0 *
Raymond A. Dunn 232.7580 232.7580 0 *
C. Edward Furguson 2038.0560 2038.0560 0 *
Ronad Hebben 477.5310 477.5310 0 *
Bernard P. Charleson 1513.7080 1513.7080 0 *
Aaron T. Kozar .0190 .0190 0 *
Christopher Bentz 191.7380 191.7380 0 *
Roger V. Lewis 1211.0000 .0510 1211 *
Patricia Schaffer 44.0000 .9730 43 *
Glenn A. Thomas 1522.7170 1522.7170 0 *
Janet A. Korch 1008.0000 908.2770 100 *
George P. Braem 1367.1240 1367.1240 0 *
Diane Hopkins 311.0640 311.0640 0 *
Jeffrey Brunson 295.9810 295.9810 0 *
Barry Humphries 335.0000 271.5380 63 *
Blake Caldwell 943.0000 871.9350 71 *
Raymond Cwik 513.2960 513.2960 0 *
Terry L. Smedley 1571.7260 1571.7260 0 *
James R. Turner 1000.0000 .0640 1000 *
Michael H. Thompson 1171.0000 .0020 1171 *
Kenneth Daniels 228.5760 228.5760 0 *
Thomas McCabe 1536.8300 1536.8300 0 *
Kimberly Kanik 50.3530 50.3530 0 *
Donald L. Flickinger 1512.1230 1512.1230 0 *
Dennis R. Slusser 1399.2300 1399.2300 0 *
Patricia A. Pagnanelli 1293.0000 1068.6010 224 *
Michael L. Zenert 387.0310 387.0310 0 *
Andrew W. Finney 1205.5010 1205.5010 0 *
Scott Oulton 314.8170 314.8170 0 *
John M. Blume .9080 .9080 0 *
Ulles L. Fox 213.6790 213.6790 0 *
Archie Atkinson .0100 .0100 0 *
Kenneth Varoli 183.5450 183.5450 0 *
John F. Pfaff 1173.5500 1173.5500 0 *
Patricia Karczewski .0010 .0010 0 *
Karla A. Mitchell 996.8270 996.8270 0 *
John W. Folkmire .0020 .0020 0 *
Robert M. Mehr 887.0890 887.0890 0 *
Raymond Ellison 63.0000 .0540 63 *
Pamela M. Heddinger 1536.6330 1536.6330 0 *
-10-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2) Prospectus Number Percent
------------------------------ ---------------------- ---------- ------ -------
Mike Ho Kwon Wong 2177.0000 1561.4500 616 *
Samuel J. Bacco 1616.0000 1534.0440 82 *
Phyllis M. Sabol 1302.2740 1302.2740 0 *
Thomas L. Strawins Jr. 65.0000 .0790 65 *
Gary Bailey 1402.1090 1402.1090 0 *
James T. Bruney .0530 .0530 0 *
Jay E. Best 1854.0000 1774.0130 80 *
John W. Anderson 2363.0710 2363.0710 0 *
Clarence H. Stead 1572.6910 1572.6910 0 *
Paul Bender 401.0010 401.0010 0 *
George Drahusz, Jr. 1665.0270 1665.0270 0 *
Ernest T. Petrulak 1742.9510 1742.9510 0 *
James L. Pajan 2072.0000 1572.4880 500 *
Blais Mascitelli .1170 .1170 0 *
Kenneth Smajda 431.0550 431.0550 0 *
John A. Vikara 7746.0000 1245.7460 6500 *
Robert J. Berklich 3768.0000 1767.9740 2000 *
Timothy D. Powers 769.7440 769.7440 0 *
James M. Ferguson 1645.3020 1645.3020 0 *
Keith Hamilton 286.3450 286.3450 0 *
James M. Zemyan 2554.0000 2055.3220 499 *
John M. Marszalek 561.6410 561.6410 0 *
Patricia Klipa 379.5510 379.5510 0 *
David B. Fetch 624.7540 624.7540 0 *
Ronald J. Marquez .0450 .0450 0 *
Brian L. Cunkelman 1.0150 1.0150 0 *
John A. Novotny 1910.1810 1910.1810 0 *
Sally L. Davis 187.6180 187.6180 0 *
Ronald J. Shaffer .0010 .0010 0 *
John A. Manzella 1661.3680 1661.3680 0 *
Richard C. Barras .0010 .0010 0 *
John B. Carroll 1880.0000 1716.7220 163 *
Vincent Ferri 2080.5580 2080.5580 0 *
P. Richard Bonadio 2588.7720 2588.7720 0 *
Jason J. Removcik 763.1470 763.1470 0 *
Bernard R. Krivansky, Jr. 1234.0850 1234.0850 0 *
Gary J. Falce 1000.0000 .0140 1000 *
Gary M. Sich 1923.8650 1923.8650 0 *
Michael E. Romansky 1238.3150 1238.3150 0 *
Kenneth A. Sekely 1386.5980 1386.5980 0 *
JoJo Joseph 32.9690 32.9690 0 *
John E. Midili 2193.4340 2193.4340 0 *
Thomas Vayansky 522.0230 522.0230 0 *
Russell A. Messinger 1462.2640 1462.2640 0 *
William M. Slater 1725.8110 1725.8110 0 *
Daniel G. Wagner, Sr. 1241.0680 1241.0680 0 *
Michael J. Lawrence 1178.8820 1178.8820 0 *
Daniel Cranston 482.5220 482.5220 0 *
Michael Veltri 540.6180 540.6180 0 *
Terry J. Gregory 1378.0000 1278.1810 100 *
Michael Zitt 470.1810 470.1810 0 *
Kehi Djouha 66.0530 66.0530 0 *
Ronald J. Oglietti 1700.0240 1700.0240 0 *
William J. Kleppinger, Jr. 1073.1470 1073.1470 0 *
David Hoover 783.5380 783.5380 0 *
-11-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2) Prospectus Number Percent
------------------------------ ---------------------- ---------- ------ -------
Eric Knor .6790 .6790 0 *
Larry L. Biesuz 1501.4640 1501.4640 0 *
Randy G. Anderson 1323.4110 1323.4110 0 *
Paul J. Kettle Jr. 940.5270 940.5270 0 *
Ronald Woltz 954.8070 954.8070 0 *
William A. Zeravica 1519.0820 1519.0820 0 *
Steven D. Balogh 1587.1450 1587.1450 0 *
Kevin J. Anderson 1375.7820 1375.7820 0 *
Ernest J. Campbell 1869.8260 1869.8260 0 *
Yvonne Merdian .0010 .0010 0 *
William G. Greenaway 1932.2760 1932.2760 0 *
Lewis C. McNicol 1702.2890 1702.2890 0 *
Xuan Van Truong 1292.9900 1292.9900 0 *
Nanette A. Di Piazza 644.0000 576.5030 67 *
Jennifer Cunkelman 395.4140 395.4140 0 *
Philip J. Marino 1162.4340 1162.4340 0 *
Mike Wei Li 857.1380 857.1380 0 *
Anna Mae Filkosky 100.0000 .0110 100 *
Ronald Abel 1424.7530 1424.7530 0 *
Nicholas C. Hunter 1123.2570 1123.2570 0 *
Chas Kucera 589.0000 389.1150 200 *
Robert Conlogue 115.0130 115.0130 0 *
Norman L. Boyer .0470 .0470 0 *
Richard L. Swalm 966.3210 966.3210 0 *
Daniel Kline 368.6010 368.6010 0 *
Karen L. Waddell 628.1480 628.1480 0 *
Cheryl Musselman 303.8630 303.8630 0 *
Connie M. Wearstler 333.5330 333.5330 0 *
Carol A. Lentz 1062.0000 987.1860 75 *
Robert N. Scharpf 1595.0100 1595.0100 0 *
Edward Chesla 1372.8900 1372.8900 0 *
Matthew P. Owens 2100.0000 1568.4330 532 *
Wayne Scott .0040 .0040 0 *
Edward Scurci 1886.0000 1843.5600 42 *
Tammy Shulenski 310.4680 310.4680 0 *
Wayne P. Cymbor 1858.0000 1758.3750 100 *
John D. Ruccio 1347.3690 1347.3690 0 *
Fred Steiner 1342.0000 1270.1550 72 *
Randal Wagner .0150 .0150 0 *
Vincent F. Troiani 523.5680 523.5680 0 *
James Carfango, Jr. 566.5400 566.5400 0 *
David C. Rogers 1439.5360 1439.5360 0 *
Darlene Duvall 278.1010 278.1010 0 *
Jerome P. McCann 1765.2690 1765.2690 0 *
Gregory L. Johnston 1400.4330 1400.4330 0 *
Frank J. Jerina .0300 .0300 0 *
Larren A. Burgess, Jr. 1690.0000 1549.1190 141 *
Paul E. Jamieson 1709.3810 1709.3810 0 *
Eric Baker .0010 .0010 0 *
Jeffrey B. Skweres 1095.7990 1095.7990 0 *
Donald A. Mack .0150 .0150 0 *
Diane C. Kowalski 1093.8770 1093.8770 0 *
Kae Rivera 771.8350 771.8350 0 *
Charles E. Alleman 1653.3670 1653.3670 0 *
Bruce G. Thomas 1802.1930 1802.1930 0 *
-12-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2) Prospectus Number Percent
------------------------------ ---------------------- ---------- ------ -------
Martin McMahon .0250 .0250 0 *
Delbert W. Bell 2006.7130 2006.7130 0 *
Steven Singleton 763.5670 763.5670 0 *
Keith Miller 94.6150 94.6150 0 *
Darren Beatty 989.0000 643.2480 346 *
John P. Condrasky 1814.2570 1814.2570 0 *
Matthew P. Jarusinski 724.4990 724.4990 0 *
Ettore A. Acalotto 1250.6710 1250.6710 0 *
Joseph C. Kahr 2386.4790 2386.4790 0 *
Ronald J. Shaffer 731.4310 731.4310 0 *
Michael S. Plechey 910.2740 910.2740 0 *
Mary Mattis 104.4980 104.4980 0 *
Sandra Beckinger 315.0400 315.0400 0 *
Jeffrey Glasgow 63.1750 63.1750 0 *
Luis Godard .1010 .1010 0 *
Patsy L. Lombardo 1055.1320 1055.1320 0 *
Keith N. Nippes 5192.0000 2191.7700 3000 *
Matthew D. Mitsch 756.2680 756.2680 0 *
Frederick Grejda 8983.0000 3207.1200 5776 *
Richard Klemanski 754.4730 754.4730 0 *
Donald J. Wagner 1490.0000 1261.9020 228 *
Bradley Ferrell 201.1130 201.1130 0 *
Christopher D. Kovalsky 149.2740 149.2740 0 *
Victor Moyer 319.8080 319.8080 0 *
Howard D. Huss 1842.6260 1842.6260 0 *
Waring W. John 522.0800 522.0800 0 *
Billie Jo Zorich 444.9660 444.9660 0 *
John F. Campbell 1326.7310 1326.7310 0 *
Michael F. Griffin 2369.0670 2369.0670 0 *
Lawrence J. Andrews 1007.7080 1007.7080 0 *
Ronald M. Markos 1357.0000 1345.5520 11 *
George J. Belchick Jr. 1619.8210 1619.8210 0 *
Raymond P. Catone 1539.9330 1539.9330 0 *
Barry L. Pennypacker 12.7420 12.7420 0 *
John B. Sotak 7.0000 .0060 7 *
Bridgette Y. Elliott 151.4960 151.4960 0 *
Carla Kaib 317.9580 317.9580 0 *
Joseph N. Conti Jr. 88.1740 88.1740 0 *
William Turk 42.3520 42.3520 0 *
Frederick Panebianco .0370 .0370 0 *
Donald J. Williams 1291.0770 1291.0770 0 *
James A. Pack 1432.0500 1432.0500 0 *
David Bardo 1332.7280 1332.7280 0 *
Richard J. Mazur 2009.5040 2009.5040 0 *
Walter E. Goettel 1519.6890 1519.6890 0 *
David J. Pcsolar .0010 .0010 0 *
Audrey Lyons 164.5070 164.5070 0 *
Frank J. Huchrowski 697.7430 697.7430 0 *
Joseph G. Sisko 1699.0000 1568.4060 131 *
Mark S. Krampitz 1799.9640 1799.9640 0 *
Milana C. Drakulic 235.7760 235.7760 0 *
Joseph F. McLay .2150 .2150 0 *
Russell D. Wilson 1327.9620 1327.9620 0 *
Michael R. Minyon 1414.8210 1414.8210 0 *
Thomas S. Kohser 1375.0000 1244.3170 131 *
-13-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2) Prospectus Number Percent
------------------------------ ---------------------- ---------- ------ -------
Francisca DeLeon .1290 .1290 0 *
Somphone Chanthavong 253.2320 253.2320 0 *
Joseph M. Earp 162.9690 162.9690 0 *
Nguyet Nguyen 236.7000 236.7000 0 *
Carl Haas 472.6910 472.6910 0 *
Peter M. Pakenas 813.7950 813.7950 0 *
Keooudone Khamphouy .0030 .0030 0 *
Thi Nguyen .1320 .1320 0 *
Thanh-Tuyen Nguyen 164.4480 164.4480 0 *
Christine Umberger 52.1700 52.1700 0 *
Vouchky Hok .1240 .1240 0 *
Soutsakho Khamphouy 66.0230 66.0230 0 *
Witold Roman 112.5420 112.5420 0 *
Francis Valentin 461.7570 461.7570 0 *
Richard Warren 412.1040 412.1040 0 *
John Paciotti 637.0000 623.1530 14 *
Pradip N. Purohit 78.9060 78.9060 0 *
Thinh Vo 70.2360 70.2360 0 *
Giang H. La 74.6380 74.6380 0 *
Stephan Aker .0520 .0520 0 *
Michelle Angulo 78.2190 78.2190 0 *
Laura McElroy 103.2660 103.2660 0 *
Aleksey Solntsev 281.4540 281.4540 0 *
Nghiep Huu Tran 234.5180 234.5180 0 *
Charles Wolf 758.2950 758.2950 0 *
Lori L. Hernandez .0320 .0320 0 *
Sathiet Sieu 265.0380 265.0380 0 *
Diep N. Truonk 28.7400 28.7400 0 *
Michael O'Hare 180.5310 180.5310 0 *
James C. Johnson .0030 .0030 0 *
Martin Lieu 344.2980 344.2980 0 *
Balick Gevorgian 193.8100 193.8100 0 *
Charles Smith 77.9190 77.9190 0 *
Naum Barg 18.3350 18.3350 0 *
Chen Sheng 409.2160 409.2160 0 *
Van Su 189.0710 189.0710 0 *
Reuben Wang 314.4690 314.4690 0 *
Ronald A. Hawkins 3.8590 3.8590 0 *
Kim V. Tan .0510 .0510 0 *
Thomas Queen 110.2950 110.2950 0 *
Stephen Barr 106.1240 106.1240 0 *
Rafael Bohorquez 202.9780 202.9780 0 *
Domingo S. Mallari 63.4550 63.4550 0 *
Raquel P. Zapata 2.7730 2.7730 0 *
Young Go 181.5160 181.5160 0 *
Bennie Cole 141.1870 141.1870 0 *
Wanho Chu 110.8470 110.8470 0 *
William Bui 217.0250 217.0250 0 *
Eric Ferguson 147.3510 147.3510 0 *
Keshad Shrestha 3.0330 3.0330 0 *
Arunulfo Nino De Guzman 77.2400 77.2400 0 *
Alpa Mehta 168.3110 168.3110 0 *
Dieutran Nguyen 69.2560 69.2560 0 *
Thomas A. Bangura .0200 .0200 0 *
Paul Beno 68.4540 68.4540 0 *
-14-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2) Prospectus Number Percent
------------------------------ ---------------------- ---------- ------ -------
Nguyet Nguyen 310.1010 310.1010 0 *
Annie Bui 178.8560 178.8560 0 *
Kathleen Audra 406.2280 406.2280 0 *
Yen K. Tran 17.5380 17.5380 0 *
Ira Pollack 694.2380 694.2380 0 *
Brenda Grady 266.2870 266.2870 0 *
Faith Pippins .0010 .0010 0 *
Helen Hui 196.4710 196.4710 0 *
Nader Hamouda 84.9270 84.9270 0 *
Tuong Truong .1090 .1090 0 *
Jing Guan 51.5450 51.5450 0 *
Robert Stafford 193.8860 193.8860 0 *
Soknoy Song .0010 .0010 0 *
Elvis Lorete 105.3820 105.3820 0 *
Jeaniffer Mullen 210.0000 191.7730 18 *
Cynthia Stavely 337.4890 337.4890 0 *
John Edwards 16.8020 16.8020 0 *
Rose Trinh 160.3320 160.3320 0 *
Tran Luong .0200 .0200 0 *
Quang Nguyen .0860 .0860 0 *
Juan Retamozo .1360 .1360 0 *
Hiep Nguyen .0670 .0670 0 *
Quan Truong 326.2220 326.2220 0 *
Ray Wilfong 317.7050 317.7050 0 *
Mary Adam .0280 .0280 0 *
Brian Thomas .2790 .2790 0 *
Victoria Hutson 87.9760 87.9760 0 *
Hoa Ha 157.0130 157.0130 0 *
Gary Egerton 712.3460 712.3460 0 *
Shirley Renn 70.0330 70.0330 0 *
Phillip Jakobsberg 589.9480 589.9480 0 *
Ixpata Maria 76.4180 76.4180 0 *
James Jackson, Jr. 484.6010 484.6010 0 *
John Hood 298.0680 298.0680 0 *
Jeannine Dillard 356.9190 356.9190 0 *
Clive Wright 818.1800 818.1800 0 *
Kangyul Lee 370.0000 159.2940 211 *
Agustin Kakkanattu 138.9930 138.9930 0 *
Montgomery Moltz, Jr. 306.0000 219.5890 86 *
Emely Orteza 90.6470 90.6470 0 *
Chantara Kem .1810 .1810 0 *
Obaidullah Hamidi 73.8730 73.8730 0 *
Thanh Nguyen 87.7430 87.7430 0 *
Brian McGahey 182.8180 182.8180 0 *
Phiyen Nguyen 217.2520 217.2520 0 *
John Joyce .3840 .3840 0 *
Kevin Nguyen 78.9160 78.9160 0 *
Assefaw Haile 182.2830 182.2830 0 *
Mark Uehling 992.2170 992.2170 0 *
Ok Lee 168.4920 168.4920 0 *
Mai Truong 200.2820 200.2820 0 *
Narinder Kaur 172.2960 172.2960 0 *
John Barber 7.5850 7.5850 0 *
James McClaine 1592.2030 1592.2030 0 *
Mark Spurrier 29.8450 29.8450 0 *
-15-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2) Prospectus Number Percent
------------------------------ ---------------------- ---------- ------ -------
Phuong Truong 113.0000 .1190 113 *
Hoa Van 91.3920 91.3920 0 *
Roberto Delapaz 17.3470 17.3470 0 *
Anna Pham 67.2630 67.2630 0 *
Thaddeus Williams 177.2480 177.2480 0 *
Thanh Tang 296.2080 296.2080 0 *
Sang Van 67.5300 67.5300 0 *
Jorge De Vera 218.6850 218.6850 0 *
Larry Rickerson .0400 .0400 0 *
Susan Hermanson 625.4960 625.4960 0 *
Phong Hong .2330 .2330 0 *
Elda Mikhaylov 288.5930 288.5930 0 *
Imogene Stroupe 244.2030 244.2030 0 *
Karl K. Dalka 127.6800 127.6800 0 *
Robert L. Buchanan .0320 .0320 0 *
Manuel Nalda 144.6410 144.6410 0 *
Oanh Kan 235.0010 235.0010 0 *
Cuong Ly 65.2750 65.2750 0 *
Robert Kull 1142.1230 1142.1230 0 *
San Thanhly 204.7520 204.7520 0 *
David Thomas .0010 .0010 0 *
Anh Lam 221.3010 221.3010 0 *
Ted Kirk 57.5270 57.5270 0 *
Ricki Gross 121.2540 121.2540 0 *
Angel Bezos 16000.0000 .2320 16000 *
Keith Anderson .0270 .0270 0 *
Jamie C. Johns .0400 .0400 0 *
John Nicholas 630.0000 529.6950 100 *
Barry Noel 769.2730 769.2730 0 *
Larry G. Looney, Jr. 155.0000 65.0500 90 *
Velma Bishop 233.9770 233.9770 0 *
Everett G. Ring 945.0000 901.0740 44 *
Frances Brown 65.4280 65.4280 0 *
Matthew E. Nimershiem 414.5190 414.5190 0 *
Mary O. Rosenburg 73.6900 73.6900 0 *
Eddie Men 279.2070 279.2070 0 *
Prem N. Bansal 3954.0000 717.0410 3237 *
Lev Y. Mazover 20.5690 20.5690 0 *
Mohammad Osman 439.4740 439.4740 0 *
Darlo Concepcion 423.8200 423.8200 0 *
Robert Skiffington 421.6560 421.6560 0 *
Dung Nguyen 204.7920 204.7920 0 *
Sharon Foster .1420 .1420 0 *
Nepomuceno M. Lucero 584.6790 584.6790 0 *
Kenneth Parrish 57.3370 57.3370 0 *
Ronald R. Chaney 1591.1290 1591.1290 0 *
Mark Comer 8.5000 8.5000 0 *
Loan To .0610 .0610 0 *
Molly Khieu 95.2310 95.2310 0 *
Frank E. Evans 716.9420 716.9420 0 *
Robert Snead 478.7940 478.7940 0 *
Dale E. Simms 1395.8320 1395.8320 0 *
Robert Lee Howard 286.1990 286.1990 0 *
Somsamon Louangrath .0770 .0770 0 *
Janet I. Wood 1025.5300 1025.5300 0 *
-16-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2) Prospectus Number Percent
------------------------------ ---------------------- ---------- ------ -------
Robert L. Green 7.8350 7.8350 0 *
William Burnside .0500 .0500 0 *
Joe Hungate 482.4790 482.4790 0 *
Brian Cooke 489.3270 489.3270 0 *
Howard R. Munday 2731.0000 1731.0060 1000 *
Darlene Worrell 311.1120 311.1120 0 *
Sarah A. Williams .0350 .0350 0 *
Patricia Lloyd 89.6520 89.6520 0 *
Harvey Deese 511.7560 511.7560 0 *
Floyd Watts 770.8190 770.8190 0 *
Verona L. Wade .3020 .3020 0 *
Harry Tyree 430.1480 430.1480 0 *
Larry D. Bethea 999.8250 999.8250 0 *
Laney Locklear, Sr. .8340 .8340 0 *
Catherine Dang 315.6510 315.6510 0 *
Gettys Brown 1515.0000 1431.8010 84 *
James Johnson 666.7490 666.7490 0 *
Waymon M. Melvin 434.5760 434.5760 0 *
Harold Collins 967.2340 967.2340 0 *
Roland S. Moore 1827.0000 1727.0980 100 *
Randy Cox 140.5120 140.5120 0 *
James S. Beason 1139.0000 1100.8480 38 *
Robin Price 234.4530 234.4530 0 *
Scott M. Lisk, Sr. 1103.6680 1103.6680 0 *
James B. Mitchell 1179.0000 1120.1080 59 *
Franklin R. Covington .0100 .0100 0 *
Samuel Ray Deese 743.4500 743.4500 0 *
Larry D. Coggins 1442.0450 1442.0450 0 *
Ronnie Pittman 509.9100 509.9100 0 *
Billy R. Graham 1116.5330 1116.5330 0 *
Bruce Brayboy 1262.1860 1262.1860 0 *
Carolyn Rawlings 72.4220 72.4220 0 *
Harold L. Covington .0170 .0170 0 *
Greg Reavis 216.5690 216.5690 0 *
Harvey McDonald 827.0570 827.0570 0 *
Bobby G. Locklear 1097.0000 1030.0880 67 *
Angela Orr 99.8810 99.8810 0 *
Jerold F. Cummings 665.0530 665.0530 0 *
John Davis 66.3060 66.3060 0 *
Alan Bowden 431.3870 431.3870 0 *
Marshall W. Chavis 1631.3380 1631.3380 0 *
Charlie Jones 675.9720 675.9720 0 *
Keith D. Conrad 659.1520 659.1520 0 *
Harold P. Chavis .1120 .1120 0 *
Jerry Stepp 733.0080 733.0080 0 *
Julius Oxendine .0170 .0170 0 *
Mary F. McGugan 881.0000 862.4700 19 *
Lee V. Thomas 1484.8410 1484.8410 0 *
Arthelia Mayo 218.7240 218.7240 0 *
Jerry Absher 903.8910 903.8910 0 *
John C. Oliver 483.8130 483.8130 0 *
John P. Smith 913.9610 913.9610 0 *
David R. Conner 1376.9040 1376.9040 0 *
Mary Williams .0110 .0110 0 *
William D. Hanna 1000.8720 1000.8720 0 *
-17-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2) Prospectus Number Percent
------------------------------ ---------------------- ---------- ------ -------
Lacie Graham .0090 .0090 0 *
Cary C. McMillan 914.9190 914.9190 0 *
Elizabeth D. Fogarty 138.3040 138.3040 0 *
Michael V. Ray 36.1290 36.1290 0 *
Jimmy Graham 1.2150 1.2150 0 *
Fannie Clark 86.5160 86.5160 0 *
Malcom Bowyer 114.3280 114.3280 0 *
Paul G. Coble 1327.3050 1327.3050 0 *
Mary E. Wilson .0010 .0010 0 *
Ella G. Spears 897.1650 897.1650 0 *
Leonard Locklear 710.3850 710.3850 0 *
Laney Locklear 1035.0550 1035.0550 0 *
Randy Locklear 1315.0490 1315.0490 0 *
Jerald A. Sewell 47.5230 47.5230 0 *
Dennis L. Thompson 238.5190 238.5190 0 *
Ruth McClain 651.0780 651.0780 0 *
George B. Chavis .0130 .0130 0 *
Ivery Gertrude 18.4980 18.4980 0 *
Danny C. Smith 799.8630 799.8630 0 *
Steve D. Vaughn 1261.5510 1261.5510 0 *
Holly Dionne 1213.0940 1213.0940 0 *
Mickey Rice 1215.2380 1215.2380 0 *
Anthony P. Kirtsey 913.3950 913.3950 0 *
Timothy W. Henderson 965.3710 965.3710 0 *
Kimberly D. Watson 5.5650 5.5650 0 *
Ethel M. Talley 6.1520 6.1520 0 *
Brad D. Chandler 144.1950 144.1950 0 *
Avie Jeter 284.3770 284.3770 0 *
Jeffrey E. Calvin 1170.7750 1170.7750 0 *
Jeffrey L. Gelzer 82.1920 82.1920 0 *
James Smith 541.0520 541.0520 0 *
Arlin M. Chastain 264.1570 264.1570 0 *
Glen Norwood 708.9700 708.9700 0 *
Sheri Mahaffey 260.4100 260.4100 0 *
David Gilfillan 498.0420 498.0420 0 *
David A. Bailey 738.5480 738.5480 0 *
Stephen R. Kirby 590.8620 590.8620 0 *
Bobby D. Johnson 872.0720 872.0720 0 *
Barbara Ann Casey 1126.5330 1126.5330 0 *
Stephen L. Brewington 1089.5360 1089.5360 0 *
Mark C. Gallman 1142.0060 1142.0060 0 *
Chris M. Brown 671.1360 671.1360 0 *
Charlie Gadson .0010 .0010 0 *
Thomas W. Lawson 1153.7730 1153.7730 0 *
James W. Smith 1410.2900 1410.2900 0 *
Anthony Counts 459.5880 459.5880 0 *
Arthur Brice 1.9820 1.9820 0 *
Derry J. Bundrick 1464.6570 1464.6570 0 *
Betty K. Conner 896.1030 896.1030 0 *
Stanley G. Rochester 719.7670 719.7670 0 *
Jackie Mathis 96.8140 96.8140 0 *
Janice H. Burnett 1075.8110 1075.8110 0 *
Mark Dillashaw 46.4540 46.4540 0 *
Thomas Brown 451.5940 451.5940 0 *
Theresa B. Gregg .0010 .0010 0 *
-18-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2) Prospectus Number Percent
------------------------------ ---------------------- ---------- ------ -------
Harold R. Lee 1351.2870 1351.2870 0 *
Michael J. Morrow 1325.5160 1325.5160 0 *
Alphelia R. Duck 1224.1880 1224.1880 0 *
Molly Bruster 276.3530 276.3530 0 *
Randall B. Morris .0210 .0210 0 *
Larry P. Parham 29.8230 29.8230 0 *
Freida Tipton 999.6860 999.6860 0 *
William C. Chandler 353.3870 353.3870 0 *
Gloria E. Gadson 2.0000 .0020 2 *
Jerry R. Draper .0250 .0250 0 *
Dartlan R. Collins 1382.0210 1382.0210 0 *
Carol Kimling 363.1670 363.1670 0 *
Greg T. Walden 72.9340 72.9340 0 *
Joseph W. Chastain 110.5670 110.5670 0 *
Murtaza R. Dossaji 1099.9080 1099.9080 0 *
Kimberli H. Green 444.4010 444.4010 0 *
Candace L. Hughes-Frady 84.9510 84.9510 0 *
William Varner 572.4540 572.4540 0 *
Timothy L. Chastain 131.7480 131.7480 0 *
Peyton Bateman 67.7160 67.7160 0 *
Terry D. Brice .0040 .0040 0 *
Phillip R. Graham 333.8390 333.8390 0 *
Albert K. Ramsey 1220.0000 1120.2320 100 *
Iqbal F. Alimohamed 1401.7000 1401.7000 0 *
Stephanie T. Goldsmith 95.4400 95.4400 0 *
Willie J. Spurgeon 945.3130 945.3130 0 *
Chris D. Mathis 116.8870 116.8870 0 *
Mary R. Forrester .0010 .0010 0 *
Joseph A. Barker 1138.0000 1045.5750 92 *
Odell Jones 521.3330 521.3330 0 *
Gwen Suber-Wilson 1543.7220 1543.7220 0 *
Anthony Legrand 597.7640 597.7640 0 *
James A. Gist 657.4320 657.4320 0 *
Dorothy J. Lee 1621.7320 1621.7320 0 *
Ronnie Oneal Fuller 922.0060 922.0060 0 *
Bruce Bailey 1020.4670 1020.4670 0 *
Michael C. Pulley 1020.2040 1020.2040 0 *
Michael A. Mesardjian 1254.0770 1254.0770 0 *
Eugene W. Henderson 869.2670 869.2670 0 *
Charles E. Gist 189.5740 189.5740 0 *
Jerry Alan Weaver 979.9640 979.9640 0 *
Freddie L. Foggie 1084.0000 988.7120 95 *
Robert E. Schmidt 1210.0520 1210.0520 0 *
Francis O. Ramsey 956.9310 956.9310 0 *
Marjorie C. Coggins .0010 .0010 0 *
William Knight 396.4400 396.4400 0 *
Dianne S. Summey 957.0000 857.2740 100 *
Timothy Wayn Chastain 1269.4070 1269.4070 0 *
William L. Edmond 420.8590 420.8590 0 *
David McLeveen 28.7020 28.7020 0 *
Barry G. Jones 1611.0490 1611.0490 0 *
Diann M. Brown 758.7180 758.7180 0 *
Mark L. Poteat 981.0000 880.8530 100 *
Monty D. Benjamin 1586.8730 1586.8730 0 *
Albert R. Smith 1401.8420 1401.8420 0 *
-19-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2) Prospectus Number Percent
------------------------------ ---------------------- ---------- ------ -------
Mitchell G. Green .0020 .0020 0 *
Scott Templeton 1253.4530 1253.4530 0 *
Clifford Robertson 210.4780 210.4780 0 *
Robert Mason 1403.3290 1403.3290 0 *
Gerry B. Spells 475.8270 475.8270 0 *
Robby L. Pittman 1031.6610 1031.6610 0 *
Ralph M. Summerlin 1101.3240 1101.3240 0 *
Michael Snow .0010 .0010 0 *
Ray C. Wilkins 160.5980 160.5980 0 *
James T. Jolly 712.3470 712.3470 0 *
Joe Douglas Graham 47.9090 47.9090 0 *
Winona B. Gregory 908.3590 908.3590 0 *
Ricky Simmons 474.1780 474.1780 0 *
Gregory P. Blackwell .0010 .0010 0 *
Marie L. Schweikert .0010 .0010 0 *
David Chumley 34.2580 34.2580 0 *
Maxie Murphy 512.6430 512.6430 0 *
Michael W. Pugh 694.1970 694.1970 0 *
Brenda H. Pierce 1003.4190 1003.4190 0 *
Joseph M. Bowers 161.6030 161.6030 0 *
Chuong H Le 369.3820 369.3820 0 *
Henry D. Rhames, Jr. .0050 .0050 0 *
Lisa Smith 998.4040 998.4040 0 *
Janice Cash 714.8000 714.8000 0 *
Norma S. Parker 879.4530 879.4530 0 *
Stefan T. Murphy 161.9230 161.9230 0 *
Jennifer L. Sprouse 26.8100 26.8100 0 *
Gloria J. Hutto .0010 .0010 0 *
Linda Diane Sawyer 927.5330 927.5330 0 *
Eric Gault 959.7240 959.7240 0 *
Quinn H. Vance 1184.9510 1184.9510 0 *
JB Jones 42.4830 42.4830 0 *
Samuel Glen Childers 882.1630 882.1630 0 *
Kristie C. Hughes 1033.0000 995.6470 37 *
Kristie C. Hughes 995.6470 995.6470 0 *
James E. Brown 70.5860 70.5860 0 *
Glenda A. Nix .0460 .0460 0 *
Scott N. Griffin 1669.0660 1669.0660 0 *
Ralph S. Childers 1337.9930 1337.9930 0 *
Rebecca F. Duperry 1074.0390 1074.0390 0 *
Wallace D. Wilkins 167.7510 167.7510 0 *
Michael J. Jones .0010 .0010 0 *
Sara Jo Krause 691.4170 691.4170 0 *
Stanley E. Staggs 1406.3560 1406.3560 0 *
Ralph D. McConnell 1052.2590 1052.2590 0 *
Paul II Paris 523.9200 523.9200 0 *
Tracey E. Coleman .0800 .0800 0 *
Tanya Norwood .0340 .0340 0 *
Michael A. Gibson .0040 .0040 0 *
Rickey Rice 1008.5900 1008.5900 0 *
Gregory S. Childers 932.6040 932.6040 0 *
Dennis Porter 81.4370 81.4370 0 *
Richard S. Edwards 174.6050 174.6050 0 *
Timothy R. Bostic 1129.1600 1129.1600 0 *
Otis S. Gentry .0040 .0040 0 *
-20-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2) Prospectus Number Percent
------------------------------ ---------------------- ---------- ------ -------
Nathan A. Fulcher 1094.0000 954.0170 140 *
Eric Wade Phillips, Sr. 35.0110 35.0110 0 *
Leshawne Jenkins 807.4740 807.4740 0 *
Arminda L. Sloan 179.5500 179.5500 0 *
Leon Corley 25.4220 25.4220 0 *
Verlie Lawson 586.9490 586.9490 0 *
Cory L. Dimery 102.6770 102.6770 0 *
Henry Grady Thackston, Jr. .0310 .0310 0 *
Karine-Nathalie Glass 84.2400 84.2400 0 *
Russell Lee Lipford, Jr. 1414.9110 1414.9110 0 *
Joe C. Wheeler 1901.6030 1901.6030 0 *
Shirley C.Daniel 905.1400 905.1400 0 *
Michael D. Tuck 176.7840 176.7840 0 *
Ross Rogers .0180 .0180 0 *
Charles Durrah 44.5800 44.5800 0 *
Gloria A. Norris 1004.1880 1004.1880 0 *
William L. Thorne 1337.4590 1337.4590 0 *
Eric G. Glass 818.0580 818.0580 0 *
Maxie G. Chumley 1958.0000 1558.2330 400 *
Steve C. McFalls 906.3390 906.3390 0 *
James Wood 1213.1130 1213.1130 0 *
David B. Wilson .0010 .0010 0 *
Conley Lee McGee .0010 .0010 0 *
James R. Easler 44.4630 44.4630 0 *
Randy Snow .5770 .5770 0 *
Randall E. Burgess 643.0170 643.0170 0 *
Jerry W. Landis 497.9860 497.9860 0 *
Anthony Price 1211.3240 1211.3240 0 *
Jerry W. Easler 1149.2170 1149.2170 0 *
Steve C. Edwards 518.6930 518.6930 0 *
Stefan C. Seidl 990.0000 889.5970 100 *
Kenneth Vaughn, Jr. 93.9120 93.9120 0 *
Russell W. Dodson 814.1410 814.1410 0 *
James Steven Morrison 1632.6120 1632.6120 0 *
Kelly D. Calvin 786.3760 786.3760 0 *
Beverli D. Kusztos 970.4380 970.4380 0 *
Elliott Thompson 26.5120 26.5120 0 *
Michael L. Brown .2420 .2420 0 *
Ronnie Waldrop .0130 .0130 0 *
Joseph E. Putman 545.8580 545.8580 0 *
James C. Horton 581.6590 581.6590 0 *
Mary Christine Smith-Kurta 602.1810 602.1810 0 *
Johnny Whitted .0010 .0010 0 *
Tien Nguyen 525.2900 525.2900 0 *
William R. Johnson .0040 .0040 0 *
Ralph Roddy, Jr. 1031.4830 1031.4830 0 *
Kenneth Green 343.0050 343.0050 0 *
Todd M. Crumpton .0010 .0010 0 *
James Riddle 261.4510 261.4510 0 *
John C. Deaton, Jr. 865.7780 865.7780 0 *
Ronald Lydie 489.6960 489.6960 0 *
Martha R. Keller 1051.9910 1051.9910 0 *
Lana K. Arnold 1366.9790 1366.9790 0 *
James Porter 251.8170 251.8170 0 *
Gregory Scott 1739.6260 1739.6260 0 *
-21-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2) Prospectus Number Percent
------------------------------ ---------------------- ---------- ------ -------
Arvella R. Sellars 969.5180 969.5180 0 *
Linda Griffin 416.1930 416.1930 0 *
Larry Wayne DeYoung 1276.8620 1276.8620 0 *
Ann L. Coble 1121.6620 1121.6620 0 *
Millard Hollifield 609.7680 609.7680 0 *
Teresa A. Kelly 896.5630 896.5630 0 *
Jerry Greene .0010 .0010 0 *
Nihad Hanano 1752.7120 1752.7120 0 *
Mary A. Bishop 893.5300 893.5300 0 *
Karen E. Watson 568.3760 568.3760 0 *
William Cox 540.4580 540.4580 0 *
Cathy L. Cudd 770.9160 770.9160 0 *
Frieda D. Creech 1435.2110 1435.2110 0 *
George C. Mullis 1551.0000 1350.8570 200 *
John O. Grant, Jr. 2087.3900 2087.3900 0 *
Craig A. Victor 49.3450 49.3450 0 *
Phillip M. Kelley 118.5490 118.5490 0 *
Joseph W. Stone 155.8230 155.8230 0 *
Donald K. Woodard, IV 140.0110 140.0110 0 *
Joel Haddle 95.8760 95.8760 0 *
Robert Brasse .1970 .1970 0 *
Christopher C. Hill .1340 .1340 0 *
Charles W. Otap 422.9780 422.9780 0 *
James T. Dewberry 905.0000 806.5070 98 *
Juanita W. McBrayer .0500 .0500 0 *
Michael E. Bailey 1341.8650 1341.8650 0 *
Nancy L. Plumley 590.3840 590.3840 0 *
Robert Bourg 967.2870 967.2870 0 *
David L. Strouse 1193.2540 1193.2540 0 *
Deborah Schaub 893.9020 893.9020 0 *
Yvonne Starnes 226.6540 226.6540 0 *
John S. Listar 9.8030 9.8030 0 *
John P. Wilcher 619.1290 619.1290 0 *
Scott Vlock 238.2280 238.2280 0 *
James A. Burch 87.7830 87.7830 0 *
David A. Proctor 1892.7970 1892.7970 0 *
Ann Grimm 316.2850 316.2850 0 *
Larry A. Jernigan 1530.0000 1404.3960 126 *
Lee C.Plumley 608.3950 608.3950 0 *
Frank R. Walker 1266.6410 1266.6410 0 *
Robert Pierce 573.0000 469.4030 104 *
Donald R. Cruitt 1522.7560 1522.7560 0 *
Stephanie K. Brant 476.8820 476.8820 0 *
Patrick Lutzko 376.4970 376.4970 0 *
Craig Vandeventer 445.1330 445.1330 0 *
Victor Chavez 54.0210 54.0210 0 *
Robert Carey 54.1130 54.1130 0 *
Virginia A. Voirol .0310 .0310 0 *
John Halowell 702.6730 702.6730 0 *
Michael M. Joyce 1578.0910 1578.0910 0 *
Albert R. Kreger 1819.0000 1618.8280 200 *
Patricia M. Rice 705.5720 705.5720 0 *
Ryan Gould 581.6370 581.6370 0 *
Dave Preuninger 1770.0000 1570.0780 200 *
Hene J. Johnson, Jr. 1430.7720 1430.7720 0 *
-22-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2) Prospectus Number Percent
------------------------------ ---------------------- ---------- ------ -------
William G. Glass 1790.0590 1790.0590 0 *
Robert L. Suggs .0010 .0010 0 *
Ronald E. Kurta 513.4630 513.4630 0 *
Peter Mathern 416.2080 416.2080 0 *
Mark W. Henry 1291.4870 1291.4870 0 *
David E. Schweikert 1497.6120 1497.6120 0 *
Gerald Miller .0690 .0690 0 *
Timothy G. Tullis 1097.8310 1097.8310 0 *
Curtiss A. Grau 1026.3590 1026.3590 0 *
David Kuhn 1312.1960 1312.1960 0 *
Thomas C. Crosby 1972.9900 1972.9900 0 *
Gregory Spahr 88.1510 88.1510 0 *
Scott W. Hamilton 883.4880 883.4880 0 *
James W. Illing 1978.6590 1978.6590 0 *
Adrienne Hough 287.9160 287.9160 0 *
Michel Manseau 417.7410 417.7410 0 *
Robert J. Londeen 590.9650 590.9650 0 *
Darin Magera .0010 .0010 0 *
Michael E. Ring 1641.2370 1641.2370 0 *
Peter M. Kesik .1950 .1950 0 *
Michael G. D. Hoore 320.2110 320.2110 0 *
Michael S. Paliga .2240 .2240 0 *
Jesus Barajas 1372.0000 1311.8040 60 *
Connie O. Wofford 796.7780 796.7780 0 *
Edward W. Mayfield 897.9600 897.9600 0 *
Jonathan Wild 362.2490 362.2490 0 *
Eric S. Graves 178.0000 145.8200 32 *
Douglas A. Waters .0040 .0040 0 *
Robert L. Flatford 33.8980 33.8980 0 *
Dan L. Rigsby .0030 .0030 0 *
Kenneth S. Nevers 179.2790 179.2790 0 *
James Capron .0790 .0790 0 *
Hector Martinez 546.2120 546.2120 0 *
Michael J. Moriarity 1623.4270 1623.4270 0 *
David McCoy 1628.7830 1628.7830 0 *
Charles J. Erris 421.9180 421.9180 0 *
Laura C. Olsen .0350 .0350 0 *
Amy Kucan .0740 .0740 0 *
Donald L. Fischer 9.6560 9.6560 0 *
William Milholland 215.0410 215.0410 0 *
Joe Angelini 5.5640 5.5640 0 *
Seppo O. Saarinen 665.0000 599.5480 65 *
Nancy Emmett 7.6680 7.6680 0 *
Danny Fields .1210 .1210 0 *
Linda S. Fischer 1229.4070 1229.4070 0 *
Albert Burgos 15.5490 15.5490 0 *
Donald S. Wallace .2380 .2380 0 *
Pearl Howard .0010 .0010 0 *
Ricardo J. Torres, Jr. 821.2470 821.2470 0 *
David Tipton .0270 .0270 0 *
Luis Barajas 643.0540 643.0540 0 *
Robert L. Edwards 993.4860 993.4860 0 *
Juana Martinez .1300 .1300 0 *
Raydel D. Cabrera 531.4370 531.4370 0 *
Boris La Penko 413.6820 413.6820 0 *
-23-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2) Prospectus Number Percent
------------------------------ ---------------------- ---------- ------ -------
Alfredo Barajas .5410 .5410 0 *
Luis E. Carrizal 606.6720 606.6720 0 *
Arturo Escobedo 617.4710 617.4710 0 *
Dennis Raymundo 108.0290 108.0290 0 *
Juan Ramos .0010 .0010 0 *
Donald E. Stonerock, Jr. .0010 .0010 0 *
Robert D. Baltrusis 727.2760 727.2760 0 *
Haibo Tong 380.9010 380.9010 0 *
Warren D. Roddy 905.0310 905.0310 0 *
Vitania Thomas 389.7300 389.7300 0 *
Matthew J. Glasper 548.2800 548.2800 0 *
Leonid Fiks 152.1490 152.1490 0 *
Earl J. Rinker 921.0180 921.0180 0 *
Milagros C. Rilo 445.6600 445.6600 0 *
Susan M. Jones 523.0880 523.0880 0 *
Joel Jennings 7.1360 7.1360 0 *
Yan Guo .1120 .1120 0 *
Curtis L. Wilson .1280 .1280 0 *
Rafael A. Regalado 724.9380 724.9380 0 *
Nancy Simonini 1465.1660 1465.1660 0 *
David Cobb 10.4560 10.4560 0 *
Randy R. Gutierrez 595.6420 595.6420 0 *
Dennis W. King 1588.6510 1588.6510 0 *
Michael A. O'Neill 982.0000 947.8100 34 *
Sylvester Ryszka 580.2220 580.2220 0 *
Marcela Tietjen 734.5420 734.5420 0 *
Joseph Katsev 564.7590 564.7590 0 *
Isaac C. Miller 607.2010 607.2010 0 *
Leszek Bejgiert 265.3120 265.3120 0 *
Mary Jo Mistal 207.9590 207.9590 0 *
Peter Wisniewski 555.8080 555.8080 0 *
Angel M. Gomez .0010 .0010 0 *
Jeffrey Evans .0120 .0120 0 *
John O. Erickson, Jr. 794.6860 794.6860 0 *
Lora Katsev 394.8200 394.8200 0 *
Ruben Ruiz 155.4940 155.4940 0 *
Arturo Oyervides 563.7090 563.7090 0 *
Romeo H. Talento 513.0170 513.0170 0 *
Melville D'Souza 865.3460 865.3460 0 *
Frank C. Womack 186.5950 186.5950 0 *
Richard J. Szromba 968.8220 968.8220 0 *
Milan Petrovic 34.0000 .0030 34 *
Nicolas Balcazar 702.5700 702.5700 0 *
Nunzio Virgilio .1330 .1330 0 *
Carlton J. Banton 589.2750 589.2750 0 *
Michael E. Lebensorger 932.6940 932.6940 0 *
Mark K. Odishoo 604.4300 604.4300 0 *
Abel M. Flores 533.3700 533.3700 0 *
Christopher Niedzwiedzki 791.7040 791.7040 0 *
Muntazim S. Alavi 545.5980 545.5980 0 *
Pasteur C. Damocles 366.2990 366.2990 0 *
Emily D. Truman 1415.3390 1415.3390 0 *
Thanh Tran 46.0160 46.0160 0 *
Julian Cygan 3.9760 3.9760 0 *
Robert A. Reese 1237.6660 1237.6660 0 *
-24-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2) Prospectus Number Percent
------------------------------ ---------------------- ---------- ------ -------
Walter Escobar 444.7420 444.7420 0 *
Rolando Garcia 251.9410 251.9410 0 *
Igor D. Grunin 645.2950 645.2950 0 *
Jose A. Diaz 265.8860 265.8860 0 *
Donato Martino 791.0110 791.0110 0 *
Yefim Salganik 205.6320 205.6320 0 *
Juan Avalos 751.2660 751.2660 0 *
Fotios Golemis 939.3030 939.3030 0 *
James E. Dolan .2050 .2050 0 *
Manuel Herrera 855.9150 855.9150 0 *
Francisco Gil .0460 .0460 0 *
James C. Pawlak 4246.0000 1246.1000 3000 *
Deborah L. Staley .5830 .5830 0 *
Eduardo A. Rizzo 544.4630 544.4630 0 *
Juan A. Martinez 670.0560 670.0560 0 *
Kenneth A. Wieczorek .1310 .1310 0 *
Richard A. Peck 910.1210 910.1210 0 *
Sylvana A. Dunski 355.1770 355.1770 0 *
Marlo N. Gozar 956.3610 956.3610 0 *
Carlos Barajas 941.6280 941.6280 0 *
Przemyslaw Gaj .0060 .0060 0 *
Victor M. Zamora 701.9730 701.9730 0 *
Michael M. Wasilewski 768.0000 747.3990 21 *
Keith O. Gardner 848.3160 848.3160 0 *
Ulises Canarte 86.8640 86.8640 0 *
Rodna S. Mathus .0690 .0690 0 *
Denise Haerle .1200 .1200 0 *
Kelley A. Widerstrom 4.5640 4.5640 0 *
Eli Perkins, Jr. 958.0650 958.0650 0 *
Phillip Lascola 8.9690 8.9690 0 *
Greg A. Kochendorfer 855.6830 855.6830 0 *
Alfonso Barajas 1586.8370 1586.8370 0 *
Aldo A. Ciccarella 1041.9710 1041.9710 0 *
Roy G. Jones 661.6640 661.6640 0 *
Pawel M. Kuchowicz 821.4730 821.4730 0 *
Calvin L. Madison 70.5310 70.5310 0 *
Pyong C. Choe 476.9190 476.9190 0 *
Howard R. Sommerfeld 1413.3020 1413.3020 0 *
Samuel Y. Chiu 576.0000 456.0710 120 *
Nataliya Sigal 539.0310 539.0310 0 *
Maria Kotlyar 537.3740 537.3740 0 *
John C. Dominguez .2880 .2880 0 *
Victor Ruiz 591.8410 591.8410 0 *
Ralf D. Stuckart 781.5170 781.5170 0 *
Robert W. O'Keefe .2900 .2900 0 *
Javier Centeno 32.8590 32.8590 0 *
Jose A. Arredondo 740.3990 740.3990 0 *
Renford M. Riley 474.2680 474.2680 0 *
William E. Urian 870.2060 870.2060 0 *
Samuel Quillie 5.7480 5.7480 0 *
Olga Flores 315.5900 315.5900 0 *
Angel Ruiz 718.0780 718.0780 0 *
Garland S. Rose, Jr. .4850 .4850 0 *
Steven A. Lucas 392.5310 392.5310 0 *
Lucyna Majewski 497.5390 497.5390 0 *
-25-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2) Prospectus Number Percent
------------------------------ ---------------------- ---------- ------ -------
Richard L. Spiwak .2380 .2380 0 *
Richard Watts, Jr. .0010 .0010 0 *
Ronald A. Pabich 147.7590 147.7590 0 *
Luis A. Muentes .1710 .1710 0 *
Susan Hoffmann 6.4280 6.4280 0 *
Atmanzay Shahzadah 158.5530 158.5530 0 *
John Mattson 429.5660 429.5660 0 *
Lana M. Escobar .0010 .0010 0 *
Victor C. Knighten .0010 .0010 0 *
Daniel Mendoza 52.4950 52.4950 0 *
David A. DeWolf 704.1630 704.1630 0 *
Alexander S. Rockomanovich 871.2730 871.2730 0 *
Lucia S. Chu .0410 .0410 0 *
Dean C. Townsend .0020 .0020 0 *
Senad Music 8.4470 8.4470 0 *
Richard N. Daniels .2650 .2650 0 *
Jack Romicher 642.7590 642.7590 0 *
William Visconti 1022.9280 1022.9280 0 *
Gil F. Orellana 533.3020 533.3020 0 *
Jozef E. Plaza 634.3490 634.3490 0 *
Marquita L. Ohrt 163.0940 163.0940 0 *
Marilyn L. Danhauer .0010 .0010 0 *
Tahi Ghani 734.7440 734.7440 0 *
Fermin Rivera 511.1120 511.1120 0 *
Truc Chi Nguyen .1620 .1620 0 *
Gene A. Karpenski, Sr. 527.4910 527.4910 0 *
Ronald B. Zweigoron 2277.0000 1876.6750 400 *
Ralph E. Kornack, Jr. .5320 .5320 0 *
Mark Faktorovich 521.4120 521.4120 0 *
Antonio Correa, Jr. 479.8780 479.8780 0 *
George Shafer 690.0800 690.0800 0 *
Luis Alvarado 405.6360 405.6360 0 *
Irene R. Fitzpatrick 2442.0000 1221.6890 1220 *
Richard W. Huppert, Jr. 1141.7120 1141.7120 0 *
Marlen P. Rodriguez 657.8270 657.8270 0 *
William G. Pohnan, Jr. 758.6340 758.6340 0 *
John Anderson 69.7570 69.7570 0 *
Richard A. Dietz 1034.2910 1034.2910 0 *
Fenton P. Dawson .2980 .2980 0 *
Marianne L. Krbec 897.4110 897.4110 0 *
Juvenai Arroyo 740.1940 740.1940 0 *
Les. L. Middleton 910.9900 910.9900 0 *
Perfecto Garcia 548.5590 548.5590 0 *
Angela M. Hans 714.4090 714.4090 0 *
Valery Gluzkin 580.0000 523.5340 56 *
Rodolfo C. Manuel .2880 .2880 0 *
Mark C. Van Cleave 7068.0000 2067.5630 5000 *
Elena A. Sierra 378.4440 378.4440 0 *
Antoinette Seibert .0020 .0020 0 *
Juan Calderon 534.6420 534.6420 0 *
Jaime Jara .0100 .0100 0 *
Ramiro Alonso 1127.5800 1127.5800 0 *
Martha C. Quintana 418.5760 418.5760 0 *
Gary Lorber 232.2820 232.2820 0 *
Victerino Nunez .5500 .5500 0 *
-26-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2) Prospectus Number Percent
------------------------------ ---------------------- ---------- ------ -------
Ronald J. Piantkowski 717.0000 663.3650 54 *
Vlado Teofilov .0060 .0060 0 *
Joseph M. Antosz 540.3820 540.3820 0 *
David Rivera 189.5710 189.5710 0 *
German Reyes .1070 .1070 0 *
Juliette Kako 410.9890 410.9890 0 *
Anna Zeglen 387.1550 387.1550 0 *
William Pius 59.2220 59.2220 0 *
Peter Buckley 580.5150 580.5150 0 *
John W. Damushes 1131.7030 1131.7030 0 *
Ulrich G. Gruns 1020.7700 1020.7700 0 *
John F. Dreas 332.1620 332.1620 0 *
Patrick White .0010 .0010 0 *
Patricia A. Mugford 501.1350 501.1350 0 *
Jerome J. Dwyer 1593.8530 1593.8530 0 *
Albert Barrett .7250 .7250 0 *
Ebens Vieux 26.7710 26.7710 0 *
Gilbert Maristela 59.1550 59.1550 0 *
Daniel E. O'DeKirk .0020 .0020 0 *
George D. Lackey 205.9600 205.9600 0 *
Lynne M. Grove 70.2390 70.2390 0 *
Afsar Ali 629.0000 271.6660 357 *
Dennis E. Huebner 1248.9040 1248.9040 0 *
Richard Richey 12.2150 12.2150 0 *
Eladio Matos 714.5170 714.5170 0 *
Steve Wojdyla 495.1270 495.1270 0 *
Dawn Randall .1110 .1110 0 *
Carl W. Roth 1311.0000 1191.5010 119 *
Milton Vicenteno 12.1890 12.1890 0 *
Ramona Santiago 103.9780 103.9780 0 *
Anant S. Deshpande 201.8800 201.8800 0 *
Mario Gamez 817.8800 817.8800 0 *
Charlotte L. Griffith 224.3270 224.3270 0 *
Norbert Lipp 11.0450 11.0450 0 *
Glenn D. Ptacek 551.6570 551.6570 0 *
Jorge L. Cabrera 492.7600 492.7600 0 *
Juan Huerta 788.2410 788.2410 0 *
Helen V. Parejko .0990 .0990 0 *
Blandin B. Kallu .2700 .2700 0 *
Ziggy V. Kurnik 605.8410 605.8410 0 *
Mohammed I. Khaleel 48.7730 48.7730 0 *
Veronica C. Segovia 322.5570 322.5570 0 *
Staffan G. Brandt 1797.0940 1797.0940 0 *
Lys Brisard 16.5080 16.5080 0 *
Jerry Szorc 45.8430 45.8430 0 *
Ashraf Ghani 609.0320 609.0320 0 *
Rada Ristic 7.7790 7.7790 0 *
Donald E. Freese 11621.0000 1621.3280 10000 *
Edward R. Martinez 731.4930 731.4930 0 *
Sofia Rivera 152.4930 152.4930 0 *
David Gustavo Minette .0060 .0060 0 *
Matta Chammas 421.9480 421.9480 0 *
Guillermo Barajas 312.1130 312.1130 0 *
Karon Macon, Jr. 111.1940 111.1940 0 *
Earnest L. Dowell 587.4000 587.4000 0 *
-27-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2) Prospectus Number Percent
------------------------------ ---------------------- ---------- ------ -------
Sam Kagan 657.0000 573.6330 83 *
Boulay Gordon 206.7890 206.7890 0 *
Marjory A. Curtin .0330 .0330 0 *
Rene Paredes 625.1650 625.1650 0 *
Robert L. Kress, Jr. 438.6020 438.6020 0 *
Marcos Bosita 7.7560 7.7560 0 *
Alexander Fiks 705.0640 705.0640 0 *
Jackie Lynn Strouse 728.4490 728.4490 0 *
Mohammed Rafiq 584.8300 584.8300 0 *
Kyoungsu S. Yoo 272.3410 272.3410 0 *
Ignacio Meza .0010 .0010 0 *
Nora Johnston 2.4050 2.4050 0 *
Maria A. Ruiz 540.7850 540.7850 0 *
Meric Erturk 75.1000 75.1000 0 *
Paul T. Scott 528.3670 528.3670 0 *
Christ Karamanos 543.2090 543.2090 0 *
Rosario Nieves 704.6730 704.6730 0 *
Jesus Cuevas 315.4180 315.4180 0 *
Jose Luis Alonso .0010 .0010 0 *
Sergio Escobedo 537.3120 537.3120 0 *
Paul D. Bowers .0140 .0140 0 *
Paul A. Skalak 492.9630 492.9630 0 *
Steve M. Wasik 556.4850 556.4850 0 *
Richard Oswalt 131.9570 131.9570 0 *
Brian D. Bodza 871.4360 871.4360 0 *
Manuel A. Regalado 626.5900 626.5900 0 *
Jennifer Tran 36.1870 36.1870 0 *
Bruce Kochman .2180 .2180 0 *
Victor C. Capa .3870 .3870 0 *
Valeriy Sagalovich 425.8850 425.8850 0 *
Patricia Neal 309.0450 309.0450 0 *
Pedro E. Pinto 532.2890 532.2890 0 *
William H. Tibus 490.1770 490.1770 0 *
Tadeusz Szostak 365.2510 365.2510 0 *
Patsy A. Tisdel 507.5540 507.5540 0 *
Armando Barajas 1134.2200 1134.2200 0 *
Leandro Melon .0700 .0700 0 *
Roy A. Fuller 489.5280 489.5280 0 *
Kent Owsley 881.1480 881.1480 0 *
Steve Heffner 870.2770 870.2770 0 *
Richard B. Gibbs .1870 .1870 0 *
Suzanne E. Myers 496.5250 496.5250 0 *
Steve J. Tietjen 940.0850 940.0850 0 *
Robert C. Forslund 1793.2410 1793.2410 0 *
Rafail M. Lerman 773.4120 773.4120 0 *
Minardo Robles 733.7170 733.7170 0 *
Robert J. Wilson 1347.0000 1261.0960 86 *
Michael P. Jendrezejas 754.0000 677.8670 76 *
Gabriela Arevalo 416.8450 416.8450 0 *
Leszek Gorniewicz .0030 .0030 0 *
Alexandr Kushnir 204.6200 204.6200 0 *
Terry A. Miller 958.2500 958.2500 0 *
Ivy G. Settles .2960 .2960 0 *
Augosto L. Rodriguez 521.7660 521.7660 0 *
Christopher Asuncion 332.9060 332.9060 0 *
-28-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2) Prospectus Number Percent
------------------------------ ---------------------- ---------- ------ -------
Arthur L. Zuiker 1997.0710 1997.0710 0 *
Ronald J. Catalano 280.4270 280.4270 0 *
Anna Sonkin 546.0000 480.1530 66 *
Raymond Stack 907.0000 786.8140 120 *
Angelo M. Labriola 2204.0000 1203.6000 1000 *
Glen A. Scott 1402.8120 1402.8120 0 *
Victor D. Scafiezzo 1330.5690 1330.5690 0 *
John V. Fennerty 451.5610 451.5610 0 *
George L. Szubski 523.9570 523.9570 0 *
Scott L. Natschke 1262.3880 1262.3880 0 *
John K. Siebert 755.7200 755.7200 0 *
Joseph Vilderman 953.0610 953.0610 0 *
Jose A. Corona 215.1490 215.1490 0 *
Dorann E. Doyle 1185.0000 1108.2430 77 *
Donato A. Tito 9.7930 9.7930 0 *
Marc Dupuis 353.3970 353.3970 0 *
Mario J. Lopez 662.1850 662.1850 0 *
Francis J. Lidd 502.4520 502.4520 0 *
Ametis Louis 477.1500 477.1500 0 *
Dedric J. Stonerock 1120.7920 1120.7920 0 *
Suresh C. Shah 852.4380 852.4380 0 *
Tofique Hasan 424.4510 424.4510 0 *
Daniel Jedynak 687.9430 687.9430 0 *
Arturo Juarez .0220 .0220 0 *
Anthony Bolden 26.9250 26.9250 0 *
Anthony Franco .0660 .0660 0 *
Valeriy Svishchov 332.7420 332.7420 0 *
Lawrence D. Owen 820.3450 820.3450 0 *
Bonita D. Braxton .0010 .0010 0 *
Yakov Sukhoy 965.7270 965.7270 0 *
Raul Garcia 57.4800 57.4800 0 *
Roger J. Weseloh 1040.5460 1040.5460 0 *
Giovanna Dibrita 570.7890 570.7890 0 *
Alexander Pokot 1212.8400 1212.8400 0 *
Hugo Garcia 472.2500 472.2500 0 *
Agustin Aguilar .0410 .0410 0 *
Demetrios Flevaris 419.7710 419.7710 0 *
Frank Tinch 389.9850 389.9850 0 *
Eduardo Calderon 924.1330 924.1330 0 *
Jorge Delgadillo 201.5650 201.5650 0 *
Robert J. Currer 1134.7660 1134.7660 0 *
Kaylyn Anderson 808.8680 808.8680 0 *
Ernesto V. Puentes 867.3440 867.3440 0 *
Frank J. Pachmayer 1384.3450 1384.3450 0 *
Stephen J. Ledvina 433.7480 433.7480 0 *
Karen S. Lenz 663.2110 663.2110 0 *
Dennis Davila 1370.5310 1370.5310 0 *
Rodrigo Guajardo 477.0000 290.7040 186 *
Steven H. Szybowicz 927.1400 927.1400 0 *
Julio Valentin 892.5930 892.5930 0 *
James McDavitt 913.2060 913.2060 0 *
Chanh Van Nguyen 452.1990 452.1990 0 *
Sharon L. Freeman 573.3280 573.3280 0 *
Richard Hart 1326.8230 1326.8230 0 *
Robert Urman 1073.0050 1073.0050 0 *
-29-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2) Prospectus Number Percent
------------------------------ ---------------------- ---------- ------ -------
Prince A. Qualls 938.6430 938.6430 0 *
Eric Linn 8.2260 8.2260 0 *
Isabel Cajigas 148.4030 148.4030 0 *
Americo Torres 42.6640 42.6640 0 *
Syed Ahmed 480.8240 480.8240 0 *
Frank A. Miller .0010 .0010 0 *
Byron E. Santos .1600 .1600 0 *
Efrain Hermosillo 390.7580 390.7580 0 *
Gregory A. Giles 1152.6350 1152.6350 0 *
Joseph Bejm .1030 .1030 0 *
Raymond Schnabel 93.6910 93.6910 0 *
Robert L. Oakley 699.1850 699.1850 0 *
Sanel Budimlic .0100 .0100 0 *
Larry D. Nichols, Sr. 504.7050 504.7050 0 *
Mark Baym 740.0410 740.0410 0 *
Joseph R. Miller 1713.9620 1713.9620 0 *
Jerry D. Lance 702.7910 702.7910 0 *
Stefan Pagowski 369.9290 369.9290 0 *
Dulce Suarez 324.0000 253.3960 71 *
Lori A. Valiga 4.2240 4.2240 0 *
Joseph A. Cywinski 794.4340 794.4340 0 *
Rafael Gurrola .1280 .1280 0 *
David L. Breitbarth 1038.0260 1038.0260 0 *
James D. Radtke 237.8960 237.8960 0 *
David Nettleton 1043.3730 1043.3730 0 *
Brian J. Gondek 1147.0000 942.3450 205 *
Raymond P. Gallian Sr. 1331.7170 1331.7170 0 *
Michele Leone 1500.2590 1500.2590 0 *
Gregory K. Bennett .1930 .1930 0 *
Herminio Luna .0580 .0580 0 *
Antoni Teluch .0330 .0330 0 *
George D. Jones Jr. 154.9010 154.9010 0 *
Donald D. Radtke 1107.7400 1107.7400 0 *
Richard O. Baumgarten 672.5270 672.5270 0 *
Kent c. Solberg 1057.7240 1057.7240 0 *
Maurice T. Chiu .3930 .3930 0 *
John C. Karimkuttyil 336.0440 336.0440 0 *
Irene H. Parat 1397.0000 1063.5320 333 *
Richard M. Engel 2011.0100 2011.0100 0 *
David J. Salina 821.0050 821.0050 0 *
Galina Barvish 397.8950 397.8950 0 *
Milan Denoa 8.4930 8.4930 0 *
Randel C. Anderson .0630 .0630 0 *
Gary T. Hall .0010 .0010 0 *
Roman Kaczkowski 819.8950 819.8950 0 *
Gonzalo V. Reyes .2570 .2570 0 *
Dena Milan Bad .0060 .0060 0 *
John A. Haines .0010 .0010 0 *
Guy Louis A. Verpil 540.3760 540.3760 0 *
Susan M. Smith 886.4960 886.4960 0 *
Juan Perez 53.9490 53.9490 0 *
Richard A. Rago 1262.0000 .8960 1261 *
Ana D. Morales 227.9170 227.9170 0 *
Jesus S. Alonso 1323.2110 1323.2110 0 *
Alejandro Martinez .0150 .0150 0 *
-30-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2) Prospectus Number Percent
------------------------------ ---------------------- ---------- ------ -------
Raul Ramirez 732.9840 732.9840 0 *
George W. Wilkie .0350 .0350 0 *
Rosa J. Miller 1374.9830 1374.9830 0 *
Hans C. Prohaska .0010 .0010 0 *
Nancy R. Boun 33.0000 .2680 33 *
Martin Salgado-Diaz .0050 .0050 0 *
Gregory Smith 595.0490 595.0490 0 *
Elizabeth J. Copeland 336.7920 336.7920 0 *
Wayne Cross 1522.1810 1522.1810 0 *
Gene Neely .3230 .3230 0 *
Susan M. Lakeberg 792.3520 792.3520 0 *
Enriqueta B. Sagasti 445.9100 445.9100 0 *
Guillermo Pineda 1355.2420 1355.2420 0 *
Kenneth Walt Boehm 754.7150 754.7150 0 *
Roman Sribniak 1024.6680 1024.6680 0 *
Pamela A. Flynn 1122.0420 1122.0420 0 *
Hopewell G. White 338.2220 338.2220 0 *
John Beckman Jr. 464.0590 464.0590 0 *
Joseph F. Carter, Jr. 1143.5390 1143.5390 0 *
Joyce Simmons .0510 .0510 0 *
Mary W. Maj 606.8710 606.8710 0 *
Leonid Safyan 529.8810 529.8810 0 *
Susan Thieme 113.9550 113.9550 0 *
Maciej Lis 633.0770 633.0770 0 *
Raul Lopez 789.0790 789.0790 0 *
Lavern Meadows 502.0110 502.0110 0 *
Brian Prather 446.0920 446.0920 0 *
Suzanne Kitterman 9.4760 9.4760 0 *
Jorge Palacios 179.9970 179.9970 0 *
Donald Lee Davis 829.7830 829.7830 0 *
Glen S. Myers 475.4410 475.4410 0 *
Manuel Espinoza 7.6300 7.6300 0 *
Mark A. Puckett 794.4090 794.4090 0 *
Jose L. Fernandez 595.6360 595.6360 0 *
Stanley Bajon 694.4530 694.4530 0 *
Jason Marquardt .0050 .0050 0 *
Evelia Quevedo 38.7630 38.7630 0 *
Jeffrey Byrom .0310 .0310 0 *
Anthony Colar .0120 .0120 0 *
Catherine Broch .1670 .1670 0 *
Kuriakose T. Chacko 220.9120 220.9120 0 *
Merikay Pirrone 1593.4140 1593.4140 0 *
John K. Rus .0330 .0330 0 *
Bruce Corner 706.8530 706.8530 0 *
Melinda J. Delos Reyes 528.7280 528.7280 0 *
Miguel A. Urquiaga, Jr. 335.3980 335.3980 0 *
Rodney J. Ray 529.3650 529.3650 0 *
David G. Murray .1380 .1380 0 *
Alfred Thomas .0080 .0080 0 *
Kiet T. Lu 563.3500 563.3500 0 *
Terry A. Brown 115.3710 115.3710 0 *
Quian Zhang .4050 .4050 0 *
Keith Mills 476.1030 476.1030 0 *
Alfredo Flores 84.1080 84.1080 0 *
Greg Castiglione 1481.0000 1044.4930 437 *
-31-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2) Prospectus Number Percent
------------------------------ ---------------------- ---------- ------ -------
Tammula Erris .0440 .0440 0 *
Uwe Wienstroth 725.9890 725.9890 0 *
Martin Smith .0360 .0360 0 *
Shirley Sellman .1300 .1300 0 *
James Fikar .0060 .0060 0 *
Thomas Hall 238.9080 238.9080 0 *
Donald W. Payment 167.3640 167.3640 0 *
Dennis M. Polega 102.9130 102.9130 0 *
Brian G. Richter 819.5500 819.5500 0 *
Gary R. Baker .0010 .0010 0 *
David A. Greer .0600 .0600 0 *
Carolyn Glass 206.7140 206.7140 0 *
Richard R. Johns 1837.0000 1569.0790 268 *
Randy M. Kovatch 405.7270 405.7270 0 *
Barbara J. Rounkle .0730 .0730 0 *
Robert G. Gutzman 451.9390 451.9390 0 *
James R. Adams .0010 .0010 0 *
Jeffery D. Kernwein .2790 .2790 0 *
Daniel D. McGrew 258.5680 258.5680 0 *
Mindy A. Becker-Mooney .0720 .0720 0 *
Albert W. Koeske .0010 .0010 0 *
Gary Prasser 567.2870 567.2870 0 *
Mary Duehring 377.7010 377.7010 0 *
Janice E. Hudson 920.1460 920.1460 0 *
Gerald Fuller .0370 .0370 0 *
Bruce S. Kloster .1780 .1780 0 *
John E. Probert 848.0340 848.0340 0 *
Charles R. Sharp 832.5500 832.5500 0 *
Jason T. Connell 1326.7060 1326.7060 0 *
Rasim Karic .0130 .0130 0 *
Jesse L. Jarred 497.1650 497.1650 0 *
Ken A. Johnson 239.9680 239.9680 0 *
William N. Thomas .0320 .0320 0 *
Paul Hollandsworth 45.5680 45.5680 0 *
David E. Sharer 1706.1080 1706.1080 0 *
Barry Clark 69.4080 69.4080 0 *
Albert W. Lee 257.6210 257.6210 0 *
Harry Nguyen 535.1820 535.1820 0 *
Thomas K. Castle .0010 .0010 0 *
Lillian Alexander 209.3780 209.3780 0 *
Bobby J. Jackson .0940 .0940 0 *
Eric Crockwell 210.8180 210.8180 0 *
Jerry Henderson 574.7720 574.7720 0 *
Darrell Brantley 453.7160 453.7160 0 *
Jorge D. Alcalde 636.0350 636.0350 0 *
Curtis Holliday 455.4830 455.4830 0 *
Andrew B. Voda 411.2410 411.2410 0 *
Thomas Durr 102.9020 102.9020 0 *
Lee Thibodeaux 39.2450 39.2450 0 *
Shannon Slick 46.6930 46.6930 0 *
Tina Williams .2790 .2790 0 *
Damon Laborde 58.1310 58.1310 0 *
Lerone Batemane 684.5020 684.5020 0 *
Hong T. Trang 4.7430 4.7430 0 *
James H. Haithcock, Jr. 1626.4720 1626.4720 0 *
-32-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2) Prospectus Number Percent
------------------------------ ---------------------- ---------- ------ -------
Henry Selby Lyles 489.2020 489.2020 0 *
Willie Davis 414.7240 414.7240 0 *
George R. Gann 292.5910 292.5910 0 *
Tracie Bruce .0120 .0120 0 *
Clifton L. Rogers 1695.2240 1695.2240 0 *
Jorge A. Flores 316.0430 316.0430 0 *
Lewis Raymon Noah 379.5780 379.5780 0 *
Ramon J. Arellano 666.5980 666.5980 0 *
Gordon S. Hesla 1329.9150 1329.9150 0 *
Jimmy P. Bryan .0320 .0320 0 *
Beverly J. Willey 237.6630 237.6630 0 *
Olie Solomon 71.5170 71.5170 0 *
Irene E. Escalon-Drenkhahn 1443.0000 1296.1240 147 *
Roberto L. Ruiz 776.7740 776.7740 0 *
Ronald Sears 867.9590 867.9590 0 *
Kwang Ko 106.9680 106.9680 0 *
Leung Sengmany 249.5580 249.5580 0 *
David Duplissey 76.6910 76.6910 0 *
Thomas Dorrian 51.2160 51.2160 0 *
James E. Thompson 1091.1460 1091.1460 0 *
Jeffrey A. Ambourn 1487.0000 1427.4170 60 *
James A. Langemo 288.7160 288.7160 0 *
Larry G. Weldin 1250.0000 1185.7490 64 *
Jasper Totten 991.7630 991.7630 0 *
Reynaldo Alcazar .0460 .0460 0 *
Nathan Griffin 22.4160 22.4160 0 *
Maliny Kauch 172.4140 172.4140 0 *
Wayne Salzwedel 21.1720 21.1720 0 *
M. F. Wilson 688.0000 635.3590 53 *
Gregory A. Hallberg .0420 .0420 0 *
Robert Sokol 371.2840 371.2840 0 *
Ronald K. Steinfeldt .0140 .0140 0 *
Stephen H. Craven 84.9840 84.9840 0 *
Rebecca W. Dreasher 457.3450 457.3450 0 *
Randy A. Fedderson 201.9350 201.9350 0 *
Steve I. Lebo 529.6130 529.6130 0 *
Tony L. Schilling 334.5780 334.5780 0 *
Irwin C. Morris 148.3350 148.3350 0 *
James M. Suiter .1250 .1250 0 *
Jeff W. Stearns 545.0390 545.0390 0 *
Brad L. Peyton 480.0390 480.0390 0 *
Thomas L. Houghton 841.2160 841.2160 0 *
Robert P. Haag 674.0000 616.4060 58 *
Brion C. Wenhardt 459.0400 459.0400 0 *
Susan K. Schoenfelder 127.2140 127.2140 0 *
Frank J. Korleski 293.3420 293.3420 0 *
Scott K. Daniels 1086.0000 543.1390 543 *
Sandra M. Heefner 144.4340 144.4340 0 *
David Meyer 221.7200 221.7200 0 *
Dennis W. Sutherland 626.9390 626.9390 0 *
Michael J. Pfeiler 442.4410 442.4410 0 *
Harold R. Peltz 28.3260 28.3260 0 *
Chris D. Tierney .0520 .0520 0 *
Brian L. Libby 241.4910 241.4910 0 *
Timothy W. Meyer 165.2410 165.2410 0 *
-33-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2) Prospectus Number Percent
------------------------------ ---------------------- ---------- ------ -------
Hanh T. Nguyen 214.2350 214.2350 0 *
Keith A. Sutherland 600.0730 600.0730 0 *
Wajih Kanjo 1783.4770 1783.4770 0 *
Aretha Smoot 446.8630 446.8630 0 *
James M. Barrett 312.8530 312.8530 0 *
Everett R. Williams 8.0650 8.0650 0 *
Peggy L. Oettinger .0070 .0070 0 *
Mark Hiles 214.0540 214.0540 0 *
Cecil Burnett 352.0630 352.0630 0 *
Albert J. Schieler 2606.3040 2606.3040 0 *
Clark A. Morrow 971.6730 971.6730 0 *
Mark Kramer 1361.0840 1361.0840 0 *
Layne Howell 100.0520 100.0520 0 *
Michael D. Holder 49.1720 49.1720 0 *
Billy W. Campbell 930.0010 930.0010 0 *
Roy W. Travillion 34.4370 34.4370 0 *
Kevin J. Angel 339.4340 339.4340 0 *
Ronald Jones 123.3250 123.3250 0 *
Victoria Calhoun .0370 .0370 0 *
James M. Jackson 1898.2010 1898.2010 0 *
John M. Cunningham .0610 .0610 0 *
Noor U. Afghan 408.3870 408.3870 0 *
Gary Grace 201.3550 201.3550 0 *
William K. Stroer, Jr. 517.5840 517.5840 0 *
Everett Wagner .1450 .1450 0 *
Donald J. Gillen 370.3460 370.3460 0 *
James R. Pearson 1442.6780 1442.6780 0 *
Lana L. Poggenpohl .0010 .0010 0 *
Danny J. Pilcher 325.1160 325.1160 0 *
Theodore E. Allwardt 693.0000 479.9890 213 *
Jason R. Carlson 46.4120 46.4120 0 *
John Grabow 352.8250 352.8250 0 *
Donald Jahn 41.3330 41.3330 0 *
Beulah K. Grau 30.7960 30.7960 0 *
David H. Halvorson 587.9940 587.9940 0 *
Ed D. Segura 279.2640 279.2640 0 *
David Babbitt 127.5730 127.5730 0 *
Kent G. Whittaker 488.1820 488.1820 0 *
David C. Griffis 49.9180 49.9180 0 *
Sukumar R. Reddy 322.0000 .0010 322 *
David C. Brabb 1212.3780 1212.3780 0 *
Craig Ikeda 64.8880 64.8880 0 *
Richard Parsons 20.5530 20.5530 0 *
John Killian .2650 .2650 0 *
Clay A. Stephens 430.3740 430.3740 0 *
James J. Schaffroth 828.3850 828.3850 0 *
Sheryl Province .0880 .0880 0 *
Myung Baek 572.8490 572.8490 0 *
Herman M. Force .0320 .0320 0 *
Randall D. Thompson 53.9630 53.9630 0 *
Daniel L. Starkey 1528.1580 1528.1580 0 *
Catherine A. Campise 768.2590 768.2590 0 *
Rylander G. Imperial .1210 .1210 0 *
Francisca Connelly 67.9050 67.9050 0 *
Pedro Robles 909.0690 909.0690 0 *
-34-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2) Prospectus Number Percent
------------------------------ ---------------------- ---------- ------ -------
David W. Word .0080 .0080 0 *
Robert B. Allen, Jr. 273.0000 246.6720 26 *
Arlene J. Ponikvar .7810 .7810 0 *
Jonathan G. Imperial 647.1040 647.1040 0 *
Alberto Gudino 45.9270 45.9270 0 *
Gerald K. Asmondy .1610 .1610 0 *
Sohel A. Sareshwala 417.3810 417.3810 0 *
Roland Manuel 276.0570 276.0570 0 *
Matt L. Monson 1055.0000 813.3380 242 *
James Ko 1334.4380 1334.4380 0 *
Nghia J. Ly 203.9660 203.9660 0 *
Michael E. Fye 1178.0000 1071.5640 107 *
Chan Hann 84.6560 84.6560 0 *
John H. Corvin 4743.0000 1742.6390 3000 *
Ramon C. Barrios 40.7310 40.7310 0 *
Fernando Figueroa 66.3330 66.3330 0 *
David A. Mejia 1.3260 1.3260 0 *
Nolberto Medina 225.7640 225.7640 0 *
Thierry P. Ritter 443.8600 443.8600 0 *
John P. Condon 828.2740 828.2740 0 *
Nelson L. Price 1163.9550 1163.9550 0 *
Dean Shepherd 118.4020 118.4020 0 *
John W. Sotelo 1296.6070 1296.6070 0 *
Michael A. Filby 248.1240 248.1240 0 *
Conrado Robles .5250 .5250 0 *
Pedro Carranza 18.4230 18.4230 0 *
Gary Williams .3870 .3870 0 *
David L. Perry 44.0000 .0010 44 *
Timothy Adkins 632.5020 632.5020 0 *
Jim J. Flores 1972.3040 1972.3040 0 *
William Boyd 654.7680 654.7680 0 *
Tami E. Hanchuk .0430 .0430 0 *
Robert Matikyan 477.1450 477.1450 0 *
Ricardo Torres 683.4030 683.4030 0 *
Ralph G. Vint 991.5010 991.5010 0 *
Susan M. Brown 713.0000 662.5100 50 *
James Haddock 111.6160 111.6160 0 *
Sisouphanh Chanthalath 245.0920 245.0920 00 *
Randal Pearce 419.0000 210.0740 209 *
Matthew Prado .1140 .1140 0 *
Gregory D. Scearce 933.0990 933.0990 0 *
Elijah Griggs 164.7520 164.7520 0 *
Ottoniel Flores .0060 .0060 0 *
Gary Tubergen 672.0000 603.3520 69 *
Wei-Yi Zhou 158.3250 158.3250 0 *
Loc Pham .0480 .0480 0 *
Frank Twitty 184.2810 184.2810 0 *
Pathrose Varghese 604.0000 273.4710 331 *
Frank Songa .0010 .0010 0 *
Wei Min Zhou 71.1940 71.1940 0 *
Kevin Cuong Pham .1040 .1040 0 *
Sua Ly 425.3460 425.3460 0 *
Lac Tran 198.4800 198.4800 0 *
Lenworth Black 386.4530 386.4530 0 *
Stephen Sawyer 603.0000 539.6270 63 *
-35-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2) Prospectus Number Percent
------------------------------ ---------------------- ---------- ------ -------
Michael Murphy 273.7000 273.7000 0 *
Mai Nguyen 77.5720 77.5720 0 *
Tao Yang 193.3650 193.3650 0 *
Michael Nicodemus 414.2030 414.2030 0 *
Philippe Laurent 23.3580 23.3580 0 *
Phu Huynh .1340 .1340 0 *
Daniel Medina 622.0850 622.0850 0 *
Donald Crisafulli 1019.0070 1019.0070 0 *
David Chen 189.0500 189.0500 0 *
Cong Van Vu .7130 .7130 0 *
Bach Nguyen 66.0450 66.0450 0 *
Fermin Morales 260.0000 242.5240 17 *
Loretta Simmons 170.5670 170.5670 0 *
Ernest White 66.7770 66.7770 0 *
Nhan T. Ngoluong 199.7500 199.7500 0 *
Eduardo Baez 607.7810 607.7810 0 *
Roberto Arocho 692.6680 692.6680 0 *
Jorge L. Rivera 827.8710 827.8710 0 *
Lydia Gonzalez 230.4420 230.4420 0 *
Wilfredo Soto 1371.0780 1371.0780 0 *
Ky V. Vo 562.0000 518.3750 44 *
Hoang Le 166.7880 166.7880 0 *
Luis A. Valentin 654.3740 654.3740 0 *
Felicita Torres .2850 .2850 0 *
Maria B. Morales 737.9730 737.9730 0 *
Hennessy P. Nguyen 467.9640 467.9640 0 *
Scott S. Dary 184.1350 184.1350 0 *
Hiram Carrero 420.9000 420.9000 0 *
Wilfredo Valentin 588.5030 588.5030 0 *
Efren L. Foronda 735.0000 696.2050 39 *
Thanh Van Mai 642.8760 642.8760 0 *
Maria Do 179.4820 179.4820 0 *
Thuong Thai 213.6880 213.6880 0 *
Anh Hoang 338.6520 338.6520 0 *
Tony Thanh Nguyen 138.6610 138.6610 0 *
Anh Hoang 237.9410 237.9410 0 *
Willie E. Smith 1187.3870 1187.3870 0 *
Ann Nguyen 202.8190 202.8190 0 *
Phanary Uch 869.0040 869.0040 0 *
Hong Huynh .1480 .1480 0 *
Richard D. Bragg 1187.7840 1187.7840 0 *
Jeremy Good .0170 .0170 0 *
Sokha Yauk 779.2520 779.2520 0 *
Song Boun 911.0000 826.5010 84 *
Billy D. Do 34.6190 34.6190 0 *
Elaine Davis 530.0490 530.0490 0 *
Gerardo Cedillo 747.0890 747.0890 0 *
Melissa Smith .0080 .0080 0 *
Jason V. Ly 64.7550 64.7550 0 *
Farhat Ullah .0130 .0130 0 *
Lupe Vargas 78.5970 78.5970 0 *
Tu H. Tran 269.2760 269.2760 0 *
Jaime Otalora .2270 .2270 0 *
Long V. Vu 955.9700 955.9700 0 *
Phousauan Suryadeth 237.0640 237.0640 0 *
-36-
Shares Beneficially Owned
Shares Covered after this Offering (3)
Selling Stockholder and Principal Number of Shares by this ---------------------------
Positions with the Company (1) Beneficially Owned (2) Prospectus Number Percent
------------------------------ ---------------------- ---------- ------ -------
Carlos Campos 240.3110 240.3110 0 *
Jose Robles 288.0320 288.0320 0 *
Marizu Odle 3.2840 3.2840 0 *
Lai D. Ho 70.8310 70.8310 0 *
Alberto Perez 337.7610 337.7610 0 *
Uyen V. Ho 220.5850 220.5850 0 *
Javier Franco 412.7750 412.7750 0 *
Martin B. Marquez 264.2560 264.2560 0 *
Willard P. Spalding .0170 .0170 0 *
Carl Janer 754.5700 754.5700 0 *
------------
Total 875,790.0000
============
Fidelity 875,790.0000(5) 0
============ =====
(1) Unless otherwise indicated to be an officer or director of the company,
all selling stockholders, except Fidelity, are employees of Wabtec
eligible to participate in the ESOP.
(2) Nature of beneficial ownership is sole voting powers and sole
investment power except as indicated in subsequent notes.
(3) For participants other than officers and directors, amounts do not
include shares held in the Wabtec 401(k) plan.
(4) Amount includes 257,175 shares beneficially owned by Mr. Fernandez's
wife and 12,421 shares beneficially owned by his son.
(5) While shares covered by this prospectus will be sold by the selling
stockholders as principals for their own account, the underlying shares
are held by Fidelity on behalf of the stockholders who own units in a
Wabtec Common Stock Fund in proportion to their stock ownership
acquired pursuant to our Employee Stock Ownership Plan. Fidelity will
sell the underlying shares based on a participant's request to dispose
of their units in the Wabtec Stock Fund.
-37-
PLAN OF DISTRIBUTION
Shares covered by this prospectus will be sold by the selling
stockholders as principals for their own account. The underlying shares are held
by Fidelity on behalf of the stockholders who own units in a Wabtec Stock Fund
in proportion to their stock ownership acquired pursuant to our Employee Stock
Ownership Plan. Fidelity will sell the underlying shares, based on a
participant's request to dispose of their units in the Wabtec Stock Fund. We
will not receive any proceeds from sales of any shares by selling stockholders.
The selling stockholders or their pledgees, donees, transferees or
other successors in interest may sell shares pursuant to this prospectus from
time to time:
o in transactions (including one or more block transactions) on
the NYSE;
o through put or call options transactions relating to the
shares;
o through short sales of shares; or
o in a combination of such transactions.
The shares of Common Stock held by the selling stockholders are
restricted securities under the Securities Act prior to their sale. This
prospectus has been prepared for the purpose of registering the shares under the
Securities Act to allow for future sales by selling stockholders to the public
without restriction.
Each sale may be made at the market price prevailing at the time of
sale. Sales may be made through brokers or to dealers, and such brokers or
dealers may receive compensation in the form of commissions or discounts not
exceeding those customary in similar transactions.
The selling stockholders and any dealer acting in connection with the
offering or any broker executing a sell order on behalf of a selling stockholder
may be deemed to be underwriters within the meaning of the Securities Act, in
which event any profit on the sale of shares by a selling stockholder and any
commissions or discounts received by any such broker or dealer may be deemed to
be underwriting compensation under the Securities Act. In addition, any such
broker or dealer may be required to deliver a copy of this prospectus to any
person who purchases any of the shares from or through such broker or dealer.
The selling stockholder may elect to sell shares covered by this
prospectus that qualify for sale pursuant to Rule 144 of the Securities Act
using Rule 144 rather than pursuant to this prospectus. There is no assurance
that selling stockholders will sell any shares of Common Stock offered hereby.
All expenses of registration incurred in connection with this offering are being
borne by the Company, but all brokerage commissions and other expenses incurred
by a selling stockholder will be borne by that selling stockholder.
An investor may purchase the Common Stock offered under this prospectus
only if such shares are qualified for sale or are exempt from registration under
the applicable securities laws of the state in which such prospective purchaser
resides. We have not registered or qualified the shares under any state
securities laws and, unless the sale of such share to a particular investor is
exempt from registration or qualification under applicable state securities
laws, the sale of such shares to an investor may not be effected until such
shares have been registered or qualified with applicable state securities
authorities.
-38-
EXPERTS
The consolidated financial statements and schedules incorporated by
reference in this prospectus and elsewhere in the registration statement have
been audited by Arthur Andersen LLP, independent public accountants, as
indicated in their reports with respect thereto, and are incorporated herein in
reliance upon the authority of said firm as experts in giving said reports.
DISCLOSURE OF COMMISSION POSITION ON INDEMNIFICATION FOR
SECURITIES ACT LIABILITIES
Certificate of Incorporation Provision on Liability of Directors. The
Company Charter eliminates the liability of its directors to the fullest extent
permitted by Section 102(b)(7) of the DGCL. The Company Charter provides that
the Company's directors shall not be personally liable to the Company or its
stockholders for monetary damages for breach of their fiduciary duty as
directors, except for liability (i) for any breach of the director's duty of
loyalty to the Company or its stockholders, (ii) for acts or omissions not in
good faith or which involve intentional misconduct or a knowing violation of
law, (iii) pursuant to Section 174 of the DGCL, or (iv) for any transactions
from which a director derived an improper personal benefit. This provision does
not eliminate the duty of care, and in appropriate circumstances equitable
remedies such as injunctive or other forms of nonmonetary relief are available
under Delaware law.
Indemnification Agreements. The Company has entered or intends to enter
into Indemnification Agreements (the "Indemnification Agreements") with its
directors, officers and certain employees, agents, fiduciaries and designees
(each an "Authorized Representative"). The Indemnification Agreements authorize
the Company to pay all or part of certain expenses and liabilities of the
Authorized Representatives, either in advance or otherwise, upon written request
from such Authorized Representatives. The Indemnification Agreements indemnify
the Authorized Representatives in accordance with and to the maximum extent
permitted by the Company Charter and Sections 102(b)(7) and 145 of the DGCL, all
as described in the immediately preceding paragraphs.
Director and Officer Liability Insurance. The Company maintains
director and officer liability insurance covering its directors and officers
with respect to certain liabilities which they may incur in connection with
their serving as such.
Insofar as indemnification for liabilities arising under the Securities
Act of 1933 may be permitted to directors, officers or persons controlling the
registrant pursuant to the foregoing provisions, the registrant has been
informed that in the opinion of the Securities and Exchange Commission such
indemnification is against public policy as expressed in the Act and is
therefore unenforceable.
-39-
PART II
INFORMATION REQUIRED IN
REGISTRATION STATEMENT
ITEM 3. INCORPORATION OF CERTAIN DOCUMENTS BY REFERENCE
The following documents filed by us with the Securities and Exchange
Commission (File No. 1-13782) are hereby incorporated in this registration
statement by reference and made a part of this registration statement:
(a) the Annual Report on Form 10-K for the year ended December
31, 2001 filed pursuant to Section 13(a) of the Securities Exchange Act
of 1934, as amended (the "Exchange Act");
(b) all other reports filed by us pursuant to Section 13(a) of
the Exchange Act since the end of the fiscal year covered by the Annual
Report on Form 10-K referred to above; and
(c) the description of the Company's Common Stock set forth in
the Company's Form 8-A filed May 19, 1995 and any description of the
Common Stock which is contained in a later registration statement filed
by the Company pursuant to the Exchange Act, including any amendment or
report filed for the purpose of updating such descriptions.
All documents filed by the Company pursuant to Sections 13(a), 13(c),
14 or 15(d) of the Exchange Act on or subsequent to the date of this
registration statement and prior to the filing of a post-effective amendment
which indicates that all securities offered hereby have been sold or which
deregisters all securities then remaining unsold shall be deemed to be
incorporated by reference in this registration statement and to be a part hereof
from the date of filing of such documents.
Any statement contained in a document incorporated or deemed to be
incorporated by reference in this registration statement shall be deemed to be
modified or superseded for purposes of this registration statement to the extent
that a statement contained in this registration statement or in any other
contemporaneously or subsequently filed document which also is or is deemed to
be incorporated by reference in this registration statement modifies or
supersedes such statement. Any such statement so modified or superseded shall
not be deemed, except as so modified or superseded, to constitute a part of this
registration statement.
ITEM 4. DESCRIPTION OF SECURITIES.
Not Applicable.
ITEM 5. INTERESTS OF NAMED EXPERTS AND COUNSEL.
Not Applicable.
ITEM 6. INDEMNIFICATION OF DIRECTORS AND OFFICERS.
1. Section 145 of the Delaware General Corporation Law ("DGCL").
Section 145 of the DGCL provides that a corporation may indemnify any person who
was or is a party or is threatened to be made a party to any threatened, pending
or completed action, suit or proceeding, whether civil, criminal, administrative
or investigative (other than an action by or in the right of the corporation) by
reason of the fact that the person is or was a director, officer, employee or
agent of the corporation, or is or was serving at the request of the corporation
as a director, officer, employee or agent of another corporation, partnership,
joint venture, trust or other enterprise, against expenses (including attorneys'
fees), judgments, fines and amounts paid in settlement actually and reasonably
incurred by the person in connection with such action, suit or proceeding if the
person acted in good faith and in a manner reasonably believed to be in or not
opposed to the best interests of the corporation and with respect to any
criminal action or proceeding, had no reasonable cause to believe the person's
conduct was unlawful. The termination of any action, suit or proceeding by
judgment, order, settlement or conviction, or upon a plea of nolo contendere or
its equivalent, shall not, of itself, create a presumption that the person did
not act in good faith and in a manner reasonably believed to be in or not
opposed to the best interests of the corporation, and with respect to any
criminal action or proceeding, had reasonable cause to believe that the person's
conduct was unlawful.
Section 145 also provides that a corporation may indemnify any person
who was or is a party or is threatened to be made a party to any threatened,
pending or completed action or suit by or in the right of the corporation to
procure a judgment in its favor by reason of the fact that the person is or was
a director, officer, employee or agent of the corporation, or is or was serving
II-1
at the request of the corporation as a director, officer, employee or agent of
another corporation, partnership, joint venture, trust or other enterprise,
against expenses (including attorneys' fees) actually and reasonably incurred by
the person in connection with the defense or settlement of such action or suit,
if the person acted in good faith and in a manner reasonably believed to be in
or not opposed to the best interests of the corporation, and except that no
indemnification shall be made in respect of any claim, issue or matter as to
which such person shall have been adjudged to be liable to the corporation
unless and only to the extent that the Court of Chancery or the court in which
such action or suit was brought shall determine upon application that, despite
the adjudication of liability, but in view of all the circumstances of the case,
such person is fairly and reasonably entitled to indemnity for such expenses
which the Court of Chancery or such other court shall deem proper.
To the extent that a former or present director or officer of the
corporation has been successful on the merits or otherwise in defense of any
action, suit or proceeding referred to above, or in defense of any claim, issue
or matter therein, such person shall be indemnified against expenses (including
attorneys' fees) actually and reasonably incurred by such person in connection
therewith.
Any such indemnification (unless ordered by a court) shall be made by
the corporation only as authorized in the specific case upon a determination
that the indemnification of the present or former director, officer, employee or
agent is proper in the circumstances because such person has met the applicable
standard of conduct set forth above. Such determination shall be made:
(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.
Section 145 permits a Delaware business corporation to purchase and
maintain insurance on behalf of any person who is or was a director, officer,
employee or agent of the corporation, or is or was serving at the request of the
corporation as a director, officer, employee or agent of another corporation,
partnership, joint venture, trust or other enterprise, against any liability
asserted against such person and incurred by such person in any such capacity or
arising out of such person's status as such, whether or not the corporation
would have the power to indemnify such person against such liability.
2. Section 102(b)(7) of the DGCL. Section 102(b)(7) of the DGCL
provides that a corporation may set forth in its Certificate of Incorporation a
provision eliminating or limiting the personal liability of a director to the
corporation or its stockholders for monetary damages for breach of fiduciary
duty as a director, provided that such provision shall not eliminate or limit
the liability of a director (i) for any breach of the director's duty of loyalty
to the corporation or its stockholders, (ii) for acts or omissions not in good
faith or which involve intentional misconduct or a knowing violation of law,
(iii) under Section 174 of the DGCL regarding the unlawful payment of dividends
or approval of unlawful stock repurchases or redemptions, or (iv) for any
transaction from which the director derived an improper personal benefit. No
such provision shall eliminate or limit the liability of a director for any act
or omission occurring prior to the date when such provision becomes effective
(in the case of the Company, October 19, 1989). As noted in paragraph 3 below,
the Company's Amended and Restated Certificate of Incorporation (the "Company
Charter") includes a provision contemplated by Section 102(b)(7) of the DGCL.
3. Certificate of Incorporation Provision on Liability of Directors.
The Company Charter eliminates the liability of its directors to the fullest
extent permitted by Section 102(b)(7) of the DGCL. The Company Charter provides
that the Company's directors shall not be personally liable to the Company or
its stockholders for monetary damages for breach of their fiduciary duty as
directors, except for liability (i) for any breach of the director's duty of
loyalty to the Company or its stockholders, (ii) for acts or omissions not in
good faith or which involve intentional misconduct or a knowing violation of
law, (iii) pursuant to Section 174 of the DGCL, or (iv) for any transactions
from which a director derived an improper personal benefit. This provision does
not eliminate the duty of care, and in appropriate circumstances equitable
remedies such as injunctive or other forms of nonmonetary relief are available
under Delaware law.
II-2
4. Indemnification Agreements. The Company has entered or intends to
enter into Indemnification Agreements (the "Indemnification Agreements") with
its directors, officers and certain employees, agents, fiduciaries and designees
(each an "Authorized Representative"). The Indemnification Agreements authorize
the Company to pay all or part of certain expenses and liabilities of the
Authorized Representatives, either in advance or otherwise, upon written request
from such Authorized Representatives. The Indemnification Agreements indemnify
the Authorized Representatives in accordance with and to the maximum extent
permitted by the Company Charter and Sections 102(b)(7) and 145 of the DGCL, all
as described in the immediately preceding paragraphs.
5. Director and Officer Liability Insurance. The Company maintains
director and officer liability insurance covering its directors and officers
with respect to certain liabilities which they may incur in connection with
their serving as such.
ITEM 7. EXEMPTION FROM REGISTRATION CLAIMED.
With respect to the restricted securities reoffered or resold pursuant
to this registration statement, the registrant claimed an exemption from
registration under the Securities Act pursuant to Section 4(2) thereof. Such
restricted securities were issued to the selling stockholders in connection with
their participation in the Westinghouse Air Brake Company Employee Stock
Ownership Plan.
ITEM 8. EXHIBITS.
Exhibit
No. Description
------- -----------
4.1 Restated Certificate of Incorporation of the Company dated
January 30, 1995, as amended March 30, 1995, incorporated
herein by reference to the Company's registration
statement on Form S-1 (Registration No. 33-90866) filed
with the Commission on April 3, 1995.
4.2 Amended and Restated Bylaws of the Company, as adopted
effective November 19, 1999, incorporated herein by
reference to Exhibit 3.3 of the Company's registration
statement on Form S-4/A (Registration No. 333-88903) filed
with the Commission on October 15, 1999.
23.1 Consent of Arthur Andersen LLP, independent public
accountants, filed herewith.
24.1 Power of Attorney, contained on the signature page to this
registration statement.
` An opinion of counsel (Exhibit 5) is not being filed since the securities
being registered are not original issuance securities.
ITEM 9. UNDERTAKINGS.
(a) The undersigned registrant hereby undertakes:
(1) To file, during any period in which offers or sales are
being made, a post-effective amendment to this registration
statement:
(i) To include any prospectus required by section
10(a)(3) of the Securities Act of 1933, as amended,
(the "Securities Act");
(ii) To reflect in the prospectus any facts or events
arising after the effective date of the registration
statement (or the most recent post-effective
amendment thereof) which, individually or in the
aggregate, represent a fundamental change in the
information set forth in the registration statement;
(iii) To include any material information with respect to
the plan of distribution not previously disclosed in
the registration statement or any material change to
such information in the registration statement;
II-3
provided, however, that paragraphs (a)(1)(i) and (a)(1)(ii) do
not apply if the information required to be included in a
post-effective amendment by those paragraphs is contained in
periodic reports filed by the registrant pursuant to section
13 or section 15(d) of the Exchange Act that are incorporated
by reference in this registration statement;
(2) That, for the purpose of determining any liability under
the Securities Act, each such post-effective amendment shall
be deemed to be a new registration statement relating to the
securities offered therein, and the offering of such
securities at that time shall be deemed to be the initial bona
fide offering thereof; and
(3) To remove from registration by means of a post-effective
amendment any of the securities being registered which remain
unsold at the termination of the offering.
(b) The undersigned registrant hereby undertakes that, for purposes of
determining any liability under the Securities Act, each filing of the
registrant's annual report pursuant to section 13(a) or section 15(d) of the
Exchange Act that is incorporated by reference in this registration statement
shall be deemed to be a new registration statement relating to the securities
offered herein, and the offering of such securities at that time shall be deemed
to be the initial bona fide offering thereof.
(c) Insofar as indemnification for liabilities arising under the
Securities Act may be permitted to directors, officers and controlling persons
of the registrant pursuant to the foregoing provisions, or otherwise, the
registrant has been advised that in the opinion of the Securities and Exchange
Commission such indemnification is against public policy as expressed in the
Securities Act and is, therefore, unenforceable. In the event that a claim for
indemnification against such liabilities (other than the payment by the
registrant of expenses incurred or paid by a director, officer or controlling
person of the registrant in the successful defense of any action, suit or
proceeding) is asserted by such director, officer or controlling person in
connection with the securities being registered, the registrant will, unless in
the opinion of its counsel the matter has been settled by controlling precedent,
submit to a court of appropriate jurisdiction the question whether such
indemnification by it is against public policy as expressed in the Securities
Act and will be governed by the final adjudication of such issue.
II-4
SIGNATURES
PURSUANT TO THE REQUIREMENTS OF THE SECURITIES ACT OF 1933, THE
REGISTRANT CERTIFIES THAT IT HAS REASONABLE GROUNDS TO BELIEVE THAT IT MEETS ALL
OF THE REQUIREMENTS FOR FILING ON FORM S-8 AND HAS DULY CAUSED THIS REGISTRATION
STATEMENT TO BE SIGNED ON ITS BEHALF BY THE UNDERSIGNED, THEREUNTO DULY
AUTHORIZED, IN THE CITY OF WILMERDING, COMMONWEALTH OF PENNSYLVANIA, ON THE 24TH
DAY OF MAY, 2002.
WESTINGHOUSE AIR BRAKE TECHNOLOGIES CORPORATION
BY: /s/ Gregory T. H. Davies
-----------------------------------------
GREGORY T. H. DAVIES, PRESIDENT AND
CHIEF EXECUTIVE OFFICER
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that each person whose signature
appears below constitutes and appoints William E. Kassling, Gregory T. H. Davies
and Robert J. Brooks, and each of them, his or her true and lawful
attorneys-in-fact and agents, with full power of substitution and
resubstitution, for him or her and in his or her name, place and stead, in any
and all capacities, to sign any and all amendments (including post-effective
amendments) to this registration statement, and to file the same, with all
exhibits thereto, and other documents in connection therewith, with the
Securities and Exchange Commission, granting unto said attorneys-in-fact and
agents, and each of them, full power and authority to do and perform each and
every act and thing requisite and necessary to be done, as fully to all intents
and purposes as he or she might or could do in person, hereby ratifying and
confirming all that said attorneys-in-fact and agents or any of them, or their
or his or her substitutes, may lawfully do or cause to be done by virtue
thereof.
PURSUANT TO THE REQUIREMENTS OF THE SECURITIES ACT OF 1933, THIS
REGISTRATION STATEMENT HAS BEEN SIGNED BY THE FOLLOWING PERSONS IN THE
CAPACITIES INDICATED ON THE 24TH DAY OF MAY, 2002
Name Title
---- -----
/s/ William E. Kassling Chairman of the Board
- ------------------------------------
William E. Kassling
/s/ Gregory T. H. Davies President and Chief Executive
- ------------------------------------ Officer and Director
Gregory T. H. Davies (principal executive officer)
/s/ Robert J. Brooks Chief Financial and
- ------------------------------------ Accounting Officer and Director
Robert J. Brooks (principal financial and
principal accounting officer)
/s/ Kim G. Davis Director
- ------------------------------------
Kim G. Davis
/s/ Emilio A. Fernandez Director
- ------------------------------------
Emilio A. Fernandez
Director
- ------------------------------------
Lee B. Foster, II
/s/ James P. Kelley Director
- ------------------------------------
James P. Kelley
/s/ James P. Miscoll Director
- ------------------------------------
James P. Miscoll
/s/ James V. Napier Director
- ------------------------------------
James V. Napier
II-5
THE PLAN. PURSUANT TO THE REQUIREMENTS OF THE SECURITIES ACT OF 1933, THE
TRUSTEES (OR OTHER PERSONS WHO ADMINISTER THE EMPLOYEE BENEFIT PLAN) HAVE DULY
CAUSED THIS REGISTRATION STATEMENT TO BE SIGNED ON ITS BEHALF BY THE
UNDERSIGNED, THEREUNTO DULY AUTHORIZED, IN WILMERDING, PENNSYLVANIA, ON THE 24TH
DAY OF MAY 2002.
WESTINGHOUSE AIR BRAKE COMPANY
EMPLOYEE STOCK OWNERSHIP PLAN COMMITTEE
BY: /S/ William E. Kassling
--------------------------------------
WILLIAM E. KASSLING,
CHAIRMAN OF THE BOARD
BY: /S/ Robert J. Brooks
--------------------------------------
ROBERT J. BROOKS, CHIEF FINANCIAL AND
ACCOUNTING OFFICER
II-6
WESTINGHOUSE AIR BRAKE TECHNOLOGIES CORPORATION
WESTINGHOUSE AIR BRAKE COMPANY EMPLOYEE STOCK OWNERSHIP PLAN
------------
REGISTRATION STATEMENT
ON FORM S-8
Exhibit Index
Exhibit Sequential
No. Document Page
- ------- ------------------------------------------------------------------ ----------
4.1 Restated Certificate of Incorporation of the Company
dated January 30, 1995, as amended March 30, 1995,
incorporated herein by reference to the Company's
registration statement on Form S-1 (Registration
No. 33-90866) filed with the Commission on
April 3, 1995. ---
4.2 Amended and Restated Bylaws of the Company, as adopted
effective November 19, 1999, incorporated herein by reference
to Exhibit 3.3 of the Company's Registration Statement on Form
S-4/A (Registration No. 333-88903)
filed with the Commission on October 15, 1999. ---
23.1 Consent of Arthur Andersen LLP, independent public
accountants, filed herewith. 48
24.1 Power of Attorney, contained on the signature
page to this registration statement. 45
No legal opinion with respect to the legality of the shares being registered is
being filed because the securities being registered are not original issuance
securities.
II-7
Exhibit 23.1
CONSENT OF INDEPENDENT PUBLIC ACCOUNTANTS
As independent public accountants, we hereby consent to the incorporation by
reference in this registration statement of our reports dated February 18, 2002
included in Westinghouse Air Brake Technologies Corporation's Form 10-K for the
year ended December 31, 2001, and to all references to our Firm included in this
registration statement.
/s/ Arthur Andersen LLP
ARTHUR ANDERSEN LLP
Pittsburgh, Pennsylvania
May 21, 2002
II-8
