SEC Form 4 · accession 0001209191-18-047942
GENESEE & WYOMING INC · GWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John C Hellmann
Officer — Chief Exec. Officer & Pres. · Director
Period of report
Aug 20, 2018
Accepted (ET)
Aug 22, 2018 · 4:26 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 20, 2018 | M | 11,551 | $86.58 | A | 399,407 | D | |
| Class A Common Stock, $.01 par valueF2,F3 | Aug 20, 2018 | S | 11,467 | $88.01 | D | 387,940 | D | |
| Class A Common Stock, $.01 par valueF4 | holding | — | — | — | 55,555 | I | By Trust |
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 | $86.58 | Aug 20, 2018 | M | 11,551 | D | — | Aug 29, 2018 | Class A Stock, $.01 par value | 11,551 | 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 March 10, 2018.
- F2Represents the weighted average sales price for the price increments ranging from $87.45 to $88.32.
- 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.
- F4Held by a trust of which Mr. Hellmann is investment trustee for the benefit of family members of Mr. Hellmann.
- F5This 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.