SEC Form 4 · accession 0001246360-17-000290
GATX CORP · GATX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James M. Conniff
Officer — Sr. VP, Human Resources
Period of report
Jan 23, 2017
Accepted (ET)
Jan 25, 2017 · 12:49 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 23, 2017 | M | 767 | $44.015 | A | 1,657 | D | |
| Common Stock | Jan 23, 2017 | M | 1,467 | $45.891 | A | 3,124 | D | |
| Common Stock | Jan 23, 2017 | F | 1,898 | $59.40 | D | 1,226 | D | |
| Common StockF1 | Jan 24, 2017 | S | 336 | $59.5904 | D | 890 | D | |
| Common Stock 401(k) | holding | — | — | — | 4,671 | I | 401(k) 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 | $44.015 | Jan 23, 2017 | M | 767 | D | Jan 26, 2013 | Jan 26, 2019 | Common Stock | 767 | 0 | D |
| Stock-Settled Stock Appreciation Right | $45.891 | Jan 23, 2017 | M | 1,467 | D | Jan 24, 2014 | Jan 24, 2020 | Common Stock | 1,467 | 0 | D |
Explanation of responses
- F1Represents the weighted average sale price. The highest price at which shares were sold was $59.66 and the lowest price at which shares were sold was $59.51