SEC Form 4 · accession 0001246360-16-007135
GATX CORP · GATX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Niyi Adedoyin
Officer — SVP & CIO
Period of report
Nov 9, 2016
Accepted (ET)
Nov 14, 2016 · 6:00 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 9, 2016 | M | 600 | $33.935 | A | 3,420 | D | |
| Common Stock | Nov 9, 2016 | M | 934 | $44.015 | A | 4,354 | D | |
| Common Stock | Nov 9, 2016 | M | 1,500 | $45.891 | A | 5,854 | D | |
| Common StockF1 | Nov 9, 2016 | S | 1,259 | $46.9908 | D | 4,595 | D | |
| Common Stock | Nov 9, 2016 | F | 2,860 | $46.905 | D | 1,735 | D | |
| Common Stock | Nov 10, 2016 | S | 174 | $49.20 | D | 1,561 | D | |
| Common Stock 401(k) | holding | — | — | — | 3,151 | I | 401(k) |
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 | $33.935 | Nov 9, 2016 | M | 600 | D | Jan 27, 2012 | Jan 27, 2018 | Common Stock | 600 | 0 | D |
| Stock-Settled Stock Appreciation Right | $44.015 | Nov 9, 2016 | M | 934 | D | Jan 26, 2013 | Jan 26, 2019 | Common Stock | 934 | 0 | D |
| Stock-Settled Stock Appreciation Right | $45.891 | Nov 9, 2016 | M | 1,500 | D | Jan 24, 2014 | Jan 24, 2020 | Common Stock | 1,500 | 0 | D |
Explanation of responses
- F1Represents the weighted average sale price. The highest price at which shares were sold was $47.01 and the lowest price at which shares were sold was $46.98