SEC Form 4 · accession 0001209191-16-149884
GENESEE & WYOMING INC · GWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher F Liucci
Officer — Chief Accounting Officer
Period of report
Nov 10, 2016
Accepted (ET)
Nov 14, 2016 · 6:00 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 value | Nov 10, 2016 | M | 1,165 | $61.07 | A | 21,453 | D | |
| Class A Common Stock, $.01 par value | Nov 10, 2016 | F | 1,003 | $75.02 | D | 20,450 | 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)F1 | $61.07 | Nov 10, 2016 | M | 1,165 | D | — | Nov 29, 2016 | Class A Common Stock, $.01 par value | 1,165 | 0 | D |
Explanation of responses
- F1This option award was granted under the Genesee & Wyoming Inc. Third Amended and Restated 2004 Omnibus Incentive Plan and vested in three equal installments, beginning February 28, 2012.