SEC Form 4 · accession 0001209191-17-050704
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
Aug 28, 2017
Accepted (ET)
Aug 30, 2017 · 4:15 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 28, 2017 | M | 4,156 | $63.56 | A | 31,416 | D | |
| Class A Common Stock, $.01 par valueF1,F2 | Aug 28, 2017 | S | 4,156 | $66.19 | D | 27,260 | 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)F3 | $63.56 | Aug 28, 2017 | M | 4,156 | D | — | Aug 30, 2017 | Class A Common Stock, $.01 par value | 4,156 | 0 | D |
Explanation of responses
- F1The 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.
- F2Represents the weighted average sales price for the price increments ranging from $66.02 to $66.26.
- F3This 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 August 31, 2013.