SEC Form 4 · accession 0001209191-15-067089
GENESEE & WYOMING INC · GWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Allison M Fergus
Officer — General Counsel and Secretary
Period of report
Aug 18, 2015
Accepted (ET)
Aug 20, 2015 · 4:15 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 | Aug 18, 2015 | M | 1,275 | $38.81 | A | 44,697 | D | |
| Class A Common Stock, $.01 par valueF1 | Aug 18, 2015 | M | 1,638 | $47.49 | A | 46,335 | D | |
| Class A Common Stock. $.01 par valueF2,F3,F1 | Aug 18, 2015 | S | 2,236 | $75.97 | D | 44,099 | 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 Buy)F4 | $38.81 | Aug 18, 2015 | M | 1,275 | D | — | Aug 30, 2015 | Class A Common Stock, $.01 par value | 1,275 | 0 | D |
| Stock Option (Right to Buy)F4 | $47.49 | Aug 18, 2015 | M | 1,638 | D | — | Nov 29, 2015 | Class A Common Stock, $.01 par value | 1,638 | 0 | D |
Explanation of responses
- F1All shares are held in a joint account with spouse.
- F2The 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.
- F3Represents the weighted average sales price for the price increments ranging from $75.85 to $76.14.
- F4This option award was granted under the Genesee & Wyoming Inc. Third Amended and Restated 2004 Omnibus Incentive Plan and vested in three equal annual installments beginning February 26, 2011.