SEC Form 4 · accession 0001209191-16-104123
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
Feb 26, 2016
Accepted (ET)
Mar 1, 2016 · 5:54 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 par valueF1 | Feb 26, 2016 | A | 7,265 | $0.00 | A | 20,763 | D | |
| Class A Common Stock, $.01 par valueF2 | Feb 26, 2016 | A | 4,232 | $0.00 | A | 24,995 | D | |
| Class A Common Stock, $.01 par valueF3 | Feb 27, 2016 | F | 418 | $57.12 | D | 24,577 | D | |
| Class A Common Stock, $.01 par valueF3 | Feb 28, 2016 | F | 628 | $57.12 | D | 23,949 | 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 | $57.12 | Feb 26, 2016 | A | 20,896 | A | — | Feb 25, 2021 | Class A Common Stock, $.01 par value | 20,896 | 20,896 | D |
Explanation of responses
- F1This retention 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 26, 2019.
- F2This annual restricted stock award was granted under the Plan and will vest in two equal annual installments, beginning February 26, 2018.
- F3These shares were surrendered to Genesee & Wyoming Inc. for the payment of taxes in connection with the vesting of previously granted restricted stock awards.
- F4This annual option award was granted under the Plan and will vest in three equal annual installments, beginning February 26, 2017.