SEC Form 4 · accession 0001209191-16-130954
GENESEE & WYOMING INC · GWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mortimer B Fuller III
Director
Period of report
Jun 30, 2016
Accepted (ET)
Jul 5, 2016 · 4:16 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 | Jun 30, 2016 | A | 333 | $57.23 | A | 25,416 | D | |
| Class A Common Stock, $.01 par valueF2 | holding | — | — | — | 28,530 | I | By trust | |
| Class A Common Stock, $.01 par valueF3 | holding | — | — | — | 226 | I | By wife |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These are deferred stock units acquired pursuant to the deferred stock arrangements for non-employee directors in accordance with the terms of the Third Amended and Restated 2004 Omnibus Incentive Plan ("Omnibus Plan") of Genesee & Wyoming Inc. (the "Company"). The deferred stock units are converted into shares of the Company's Class A Common Stock on a one-for-one basis upon distribution. Distribution of shares of Class A Common Stock occurs the first day of the calendar month after a director's service on the Company's Board of Directors terminates or upon another date or dates designated by the director pursuant to the Omnibus Plan.
- F2Held by trusts of which Mr. Fuller is trustee for the benefit of members of Mr. Fuller's family. Mr. Fuller disclaims beneficial ownership of these shares.
- F3These shares are held by Mr. Fuller's wife. Mr. Fuller disclaims beneficial ownership of these shares.