SEC Form 4 · accession 0001209191-16-104118

GENESEE & WYOMING INC · GWR

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Exec. Officer & Pres. · Director

Period of report

Feb 26, 2016

Accepted (ET)

Mar 1, 2016 · 5:53 pm EST

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^F1	Feb 26, 2016	A	18,082	$0.00	A	352,834	D
Class A Common Stock, $.01^F2	Feb 27, 2016	F	2,262	$57.12	D	350,572	D
Class A Common Stock, $.01^F2	Feb 28, 2016	F	7,777	$57.12	D	342,795	D
Class A Common Stock, $.01^F3	holding	—	—		—	55,555	I	By Trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to Buy)^F4	$57.12	Feb 26, 2016	A	89,280	A	—	Feb 25, 2021	Class A Common Stock, $.01	89,280	89,280	D
Class B Common Stock, $.01 par value^F5	—	holding	—	—	—	—	—	Class A common Stock, $.01 par value	—	1,872	D

F1This annual restricted stock award was granted under the Genesee & Wyoming Inc. Third Amended and Restated 2004 Omnibus Incentive Plan (the "Plan") and will vest in two equal annual installments, beginning February 26, 2018.
F2These shares were surrendered to Genesee & Wyoming Inc. for the payment of taxes in connection with the vesting of previously granted restricted stock awards.
F3Held by a trust of which Mr. Hellmann is investment trustee for the benefit of family members of Mr. Hellmann.
F4This annual option award was granted under the Plan and will vest in three equal annual installments, beginning February 26, 2017.
F5This 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.