SEC Form 4 · accession 0001246360-16-006998
GATX CORP · GATX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric D. Harkness
Officer — VP, Treas. & Chief Risk Off.
Period of report
Oct 24, 2016
Accepted (ET)
Oct 26, 2016 · 3:56 pm EDT
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 | Oct 24, 2016 | M | 2,100 | $26.155 | A | 6,279 | D | |
| Common Stock | Oct 24, 2016 | M | 2,900 | $33.935 | A | 9,179 | D | |
| Common Stock | Oct 24, 2016 | F | 1,461 | $46.875 | D | 7,718 | D | |
| Common Stock | Oct 24, 2016 | F | 2,349 | $46.875 | D | 5,369 | D |
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 Right | $26.155 | Oct 24, 2016 | M | 2,100 | D | Jan 28, 2011 | Jan 28, 2017 | Common Stock | 2,100 | 0 | D |
| Stock-Settled Stock Appreciation Right | $33.935 | Oct 24, 2016 | M | 2,900 | D | Jan 27, 2012 | Jan 27, 2018 | Common Stock | 2,900 | 0 | D |