SEC Form 4 · accession 0001246360-16-007099
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
Nov 7, 2016
Accepted (ET)
Nov 9, 2016 · 11:14 am 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 | Nov 7, 2016 | M | 5,900 | $26.155 | A | 22,126 | D | |
| Common Stock | Nov 7, 2016 | F | 4,161 | $45.715 | D | 17,965 | D | |
| Common StockF1 | Nov 8, 2016 | S | 1,739 | $44.8292 | D | 16,226 | D | |
| Common Stock 401(k) | holding | — | — | — | 8,537 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock-Settled Stock Appreciation Right | $26.155 | Nov 7, 2016 | M | 5,900 | D | Jan 28, 2011 | Jan 28, 2017 | Common Stock | 5,900 | 0 | D |
Explanation of responses
- F1Represents the weighted average sale price. The highest price at which shares were sold was $45.26 and the lowest price at which shares were sold was $44.53