SEC Form 4 · accession 0001246360-16-004278
GATX CORP · GATX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas A. Ellman
Officer — EVP & President, N. Amer. Rail
Period of report
Jan 28, 2016
Accepted (ET)
Feb 1, 2016 · 6:42 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 28, 2016 | A | 5,652 | $0.00 | A | 17,675 | D | |
| Common Stock | Jan 28, 2016 | F | 1,857 | $39.185 | D | 15,818 | D | |
| Common Stock 401(k) | holding | — | — | — | 8,125 | I | 401k shares |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2016 NQ Stock Option (Right to Buy)F1 | $39.185 | Jan 28, 2016 | A | 22,400 | A | Jan 28, 2017 | Jan 28, 2023 | Common Stock | 22,400 | 22,400 | D |
Explanation of responses
- F133.33% of Stock Option 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.