SEC Form 4 · accession 0001209191-19-015777
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
Feb 28, 2019
Accepted (ET)
Mar 4, 2019 · 5:24 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 valueF1 | Feb 28, 2019 | F | 87 | $82.00 | D | 17,423 | D | |
| Class A Common Stock, $.01 par valueF1 | Feb 28, 2019 | F | 95 | $82.00 | D | 17,328 | D | |
| Class A Common Stock, $.01 par valueF2 | Feb 28, 2019 | A | 1,567 | $82.00 | A | 18,895 | D | |
| Class A Common Stock, $.01 par valueF3 | Feb 28, 2019 | A | 143 | $82.00 | A | 19,038 | D | |
| Class A Common Stock, $.01 par valueF4 | Feb 28, 2019 | A | 205 | $82.00 | A | 19,243 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were surrendered to Genesee & Wyoming Inc. (the "Company") for the payment of taxes in connection with the vesting of previously granted restricted stock awards.
- F2This restricted stock award was granted under the Company's Fourth Amended and Restated 2004 Omnibus Incentive Plan (the "Plan") and will vest in three equal installments, beginning February 28, 2020.
- F3Represents the number of underlying shares of Class A Common Stock of the Company earned in accordance with the Company's attainment of pre-determined financial performance targets established under its GVA methodology on the previously granted 2017 performance-based restricted stock unit award. The aforementioned award was also subject to time-based vesting, and partially vested on February 28, 2019.
- F4Represents the number of underlying shares of Class A Common Stock of the Company earned in accordance with the Company's attainment of pre-determined financial performance targets established under its GVA methodology on the previously granted 2018 performance-based restricted stock unit award. The aforementioned award was also subject to time-based vesting, and partially vested on February 28, 2019.