SEC Form 4 · accession 0001246360-16-006999
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
Oct 24, 2016
Accepted (ET)
Oct 26, 2016 · 4:14 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 | 25,400 | $26.155 | A | 105,545 | D | |
| Common Stock | Oct 24, 2016 | F | 20,032 | $46.875 | D | 85,513 | D | |
| Common StockF1 | Oct 25, 2016 | S | 5,368 | $45.8287 | D | 80,145 | D | |
| Common Stock 401(k) | holding | — | — | — | 10,267 | 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 Right | $26.155 | Oct 24, 2016 | M | 25,400 | D | Jan 28, 2011 | Jan 28, 2017 | Common Stock | 25,400 | 0 | D |
Explanation of responses
- F1Represents the weighted average sale price. The highest price at which shares were sold was $46.19 and the lowest price at which shares were sold was $45.48