SEC Form 4 · accession 0001209191-15-039965
GENESEE & WYOMING INC · GWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy J Gallagher
Officer — Chief Financial Officer
Period of report
May 5, 2015
Accepted (ET)
May 7, 2015 · 4:21 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001012620
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock, $.01 par value | May 5, 2015 | M | 4,556 | $35.99 | A | 39,513 | D | |
| Class A Common Stock, $.01 par value | May 5, 2015 | M | 3,874 | $38.81 | A | 43,387 | D | |
| Class A Common Stock. $.01 par valueF1,F2 | May 5, 2015 | S | 7,800 | $92.51 | D | 35,587 | D | |
| Class A Common Stock, $.01 par valueF1,F3 | May 5, 2015 | S | 630 | $93.65 | D | 34,957 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option, Right to BuyF4 | $35.99 | May 5, 2015 | M | 4,556 | D | — | May 27, 2015 | Class A Common Stock, $.01 par value | 4,556 | 0 | D |
| Stick Option, Right to BuyF4 | $38.81 | May 5, 2015 | M | 3,874 | D | — | Aug 30, 2015 | Class A Common Stock, $.01 par value | 3,874 | 0 | D |
Explanation of responses
- F1The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all transactions reported in this Form 4.
- F2Represents the weighted average sales price for the price increments ranging from $92.25 to $93.18.
- F3Represents the weighted average sales price for the price increments ranging from $93.46 to $94.06.
- F4This option award was granted under the Genesee & Wyoming Inc. Second Amended and Restated 2004 Omnibus Incentive Plan and vested in three equal annual installments, beginning February 26, 2011.