SEC Form 4 · accession 0001209191-16-135906
GENESEE & WYOMING INC · GWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy J Gallagher
Officer — Chief Financial Officer
Period of report
Aug 5, 2016
Accepted (ET)
Aug 8, 2016 · 4:56 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 value | Aug 5, 2016 | M | 5,104 | $51.94 | A | 54,847 | D | |
| Class A Common Stock, $.01 par valueF2,F3 | Aug 5, 2016 | S | 4,600 | $64.55 | D | 50,247 | D | |
| Class A Common Stock, $.01 par value | Aug 8, 2016 | J | 262 | $0.00 | D | 49,985 | 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)F5 | $51.94 | Aug 5, 2016 | M | 5,104 | D | — | Aug 30, 2016 | Class A Common Stock, $.01 value | 5,104 | 0 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 31, 2016.
- 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 $64.50 to $64.70.
- F4Represents transfer of shares to Reporting Person's ex-spouse pursuant to a divorce decree dated 1/7/2015.
- F5This option award was granted under the Genesee & Wyoming Inc. Third Amended and Restated 2004 Omnibus Incentive Plan (the "Plan") and vested in three equal annual installments, beginning February 28, 2012.