SEC Form 4 · accession 0001209191-18-047944
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
Aug 20, 2018
Accepted (ET)
Aug 22, 2018 · 4:27 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 valueF1 | Aug 20, 2018 | M | 2,106 | $86.58 | A | 65,955 | D | |
| Class A Common Stock, $.01 par value | Aug 20, 2018 | S | 2,106 | $88.00 | D | 63,849 | 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)F2 | $86.58 | Aug 20, 2018 | M | 2,106 | D | — | Aug 29, 2018 | Class A Common Stock, $.01 par value | 2,106 | 0 | D |
Explanation of responses
- F1All shares are held in a joint account with spouse.
- F2This 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.