SEC Form 4 · accession 0001209191-18-045666
GENESEE & WYOMING INC · GWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew O. Walsh
Officer — EVP, Global Corp. Development
Period of report
Aug 3, 2018
Accepted (ET)
Aug 7, 2018 · 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 value | Aug 3, 2018 | M | 3,159 | $86.58 | A | 107,375 | D | |
| Class A Common Stock, $.01 par valueF1,F2 | Aug 3, 2018 | S | 3,122 | $88.38 | D | 104,253 | 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 | $86.58 | Aug 3, 2018 | M | 3,159 | D | — | Aug 29, 2018 | Class A Common Stock, $.01 par value | 3,159 | 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 $88.33 to $88.40.
- F3This option award was granted under the Genesee & Wyoming Fourth Amended and Restated 2004 Omnibus Plan and vested in three equal installments, beginning February 28, 2014.