SEC Form 4 · accession 0001209191-19-015786
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
Feb 28, 2019
Accepted (ET)
Mar 4, 2019 · 5:25 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 | 1,119 | $82.00 | D | 384,200 | D | |
| Class A Common Stock, $.01 par valueF1 | Feb 28, 2019 | F | 1,902 | $82.00 | D | 382,298 | D | |
| Class A Common Stock, $.01 par valueF2 | Feb 28, 2019 | A | 22,647 | $82.00 | A | 404,945 | D | |
| Class A Common Stock, $.01 par valueF3 | Feb 28, 2019 | A | 1,549 | $82.00 | A | 406,494 | D | |
| Class A Common Stock, $.01 par valueF4 | Feb 28, 2019 | A | 2,420 | $82.00 | A | 408,914 | D | |
| Class A Common Stock, $.01 par valueF5 | holding | — | — | — | 55,555 | I | By Trust |
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 annual 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.
- F5Held by a trust of which Mr. Hellmann is investment trustee for the benefit of family members of Mr. Hellmann.