SEC Form 4 · accession 0001246360-15-000447
GATX CORP · GATX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James F Earl
Officer — EVP and Pres., GATX Rail Intl.
Period of report
Jan 29, 2015
Accepted (ET)
Feb 2, 2015 · 1:28 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000040211
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 29, 2015 | A | 11,818 | $0.00 | A | 65,814 | D | |
| Common Stock | Jan 29, 2015 | F | 4,458 | $56.91 | D | 61,356 | D | |
| Common Stock 401(k) | holding | — | — | — | 9,506 | I | 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock-Settled Stock Appreciation RightF1 | $56.91 | Jan 29, 2015 | A | 20,800 | A | Jan 29, 2016 | Jan 29, 2022 | Common Stock | 20,800 | 20,800 | D |
Explanation of responses
- F133.33% of Stock-Settled Stock Appreciation Right granted may be exercised commencing 1 year from the date of the grant, an additional 33.33% commencing 2 years from the date of the grant and the remaining 33.34% commencing 3 years from the date of the grant.