SEC Form 4 · accession 0001209191-16-149065
GENESEE & WYOMING INC · GWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Allison M Fergus
Officer — General Counsel and Secretary
Period of report
Nov 7, 2016
Accepted (ET)
Nov 9, 2016 · 4:42 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 | Nov 7, 2016 | M | 2,138 | $61.07 | A | 60,288 | D | |
| Class A Common Stock, $.01 par valueF3,F4,F1 | Nov 7, 2016 | S | 2,050 | $66.59 | D | 58,238 | 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 | $61.07 | Nov 7, 2016 | M | 2,138 | A | — | Nov 29, 2016 | Class A Common Stock, $.01 par value | 2,138 | 0 | D |
Explanation of responses
- F1All shares are held in a joint account with spouse.
- F2The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 27, 2016.
- F3The 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.
- F4Represents the weighted average sales price for the price increments ranging from $66.37 to $66.87.
- F5This option award was granted under the Genesee & Wyoming Inc. Third Amended and Restated 2004 Omnibus Incentive Plan and vested in three equal annual installments, beginning February 28, 2012.