SEC Form 4 · accession 0001209191-15-069145
GENESEE & WYOMING INC · GWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David A Brown
Officer — Chief Operating Officer
Period of report
Aug 31, 2015
Accepted (ET)
Sep 2, 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 | Aug 31, 2015 | F | 333 | $68.38 | D | 10,861 | D | |
| Class A Common Stock, $.01 par valueF2 | Aug 31, 2015 | A | 1,327 | $0.00 | A | 12,188 | 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)F3 | $68.38 | Aug 31, 2015 | A | 5,036 | A | — | Aug 30, 2020 | Class A Common Stock, $.01 par value | 5,036 | 5,036 | D |
Explanation of responses
- F1These shares were surrendered to Genesee & Wyoming Inc. for the payment of taxes in connection with the vesting of previously granted restricted stock awards.
- F2This 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.
- F3This option award was granted under the Plan and will vest in three equal annual installments, beginning February 27, 2016.