SEC Form 4 · accession 0001246360-17-000292
GATX CORP · GATX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael T. Brooks
Officer — SVP & Chief Ops. Off. Rail NA
Period of report
Jan 23, 2017
Accepted (ET)
Jan 25, 2017 · 1:07 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 | 6,700 | $33.935 | A | 27,300 | D | |
| Common Stock | Jan 23, 2017 | M | 5,000 | $44.015 | A | 32,300 | D | |
| Common Stock | Jan 23, 2017 | M | 5,000 | $45.891 | A | 37,300 | D | |
| Common Stock | Jan 23, 2017 | F | 13,047 | $59.40 | D | 24,253 | D | |
| Common StockF1 | Jan 24, 2017 | S | 3,653 | $59.4469 | D | 20,600 | D | |
| Common Stock 401(k) | holding | — | — | — | 530 | 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 | $33.935 | Jan 23, 2017 | M | 6,700 | D | Jan 27, 2012 | Jan 27, 2018 | Common Stock | 6,700 | 0 | D |
| Stock-Settled Stock Appreciation Right | $44.015 | Jan 23, 2017 | M | 5,000 | D | Jan 26, 2013 | Jan 26, 2019 | Common Stock | 5,000 | 0 | D |
| Stock-Settled Stock Appreciation Right | $45.891 | Jan 23, 2017 | M | 5,000 | D | Jan 24, 2014 | Jan 24, 2020 | Common Stock | 5,000 | 0 | D |
Explanation of responses
- F1Represents the weighted average sale price. The highest price at which shares were sold was $59.78 and the lowest price at which shares were sold was $59.22