SEC Form 4 · accession 0001209191-15-048398
GENESEE & WYOMING INC · GWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John C Hellmann
Officer — Chief Exec. Officer & Pres. · Director
Period of report
May 29, 2015
Accepted (ET)
Jun 1, 2015 · 5:02 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 valueF1 | May 29, 2015 | A | 4,709 | $0.00 | A | 321,292 | D | |
| Class A Common Stock, $.01 par valueF2 | holding | — | — | — | 55,555 | I | By Trust |
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 Buy)F3 | $82.34 | May 29, 2015 | A | 21,659 | A | — | May 28, 2020 | Class A Common Stock, $.01 par value | 21,659 | 21,659 | D |
| Class B Common Stock, $.01 par valueF4 | — | holding | — | — | — | — | — | Class A Common Stock, $.01 par value | — | 1,872 | D |
Explanation of responses
- F1This restricted stock award was granted under the Genesee & Wyoming Inc. Third Amended and Restated 2004 Omnibus Incentive Plan (the "Plan") and will vest in three equal annual installments, beginning February 27, 2016.
- F2Held by a trust of which Mr. Hellmann is investment trustee for the benefit of family members of Mr. Hellmann.
- F3This option award was granted under the Plan and will vest in three equal annual installments, beginning February 27, 2016.
- F4This Class B Common Stock is not registered pursuant to Section 12 of the Act. However, each share of Class B Common Stock is freely convertible into one share of Class A Common Stock.