SEC Form 4 · accession 0001246360-18-000390
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 29, 2018
Accepted (ET)
Jan 31, 2018 · 5:21 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 29, 2018 | M | 4,500 | $58.345 | A | 21,260 | D | |
| Common Stock | Jan 29, 2018 | M | 5,400 | $56.91 | A | 26,660 | D | |
| Common Stock | Jan 29, 2018 | F | 8,473 | $72.31 | D | 18,187 | D | |
| Common Stock | Jan 30, 2018 | M | 5,600 | $39.185 | A | 23,787 | D | |
| Common Stock | Jan 30, 2018 | M | 1,933 | $61.175 | A | 25,720 | D | |
| Common StockF1 | Jan 30, 2018 | S | 1,427 | $71.6052 | D | 24,293 | D | |
| Common StockF2 | Jan 30, 2018 | S | 7,533 | $71.5164 | D | 16,760 | D | |
| Common Stock 401(k) | holding | — | — | — | 544 | 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 | $58.345 | Jan 29, 2018 | M | 4,500 | D | Jan 30, 2015 | Jan 30, 2021 | Common Stock | 4,500 | 0 | D |
| Stock-Settled Stock Appreciation Right | $56.91 | Jan 29, 2018 | M | 5,400 | D | Jan 29, 2016 | Jan 29, 2022 | Common Stock | 5,400 | 0 | D |
| 2016 NQ Stock Option (Right to Buy) | $39.185 | Jan 30, 2018 | M | 5,600 | D | Jan 28, 2017 | Jan 28, 2023 | Common Stock | 5,600 | 2,800 | D |
| 2017 NQ Stock Option (Right to Buy) | $61.175 | Jan 30, 2018 | M | 1,933 | D | Jan 26, 2018 | Jan 26, 2024 | Common Stock | 1,933 | 3,867 | D |
Explanation of responses
- F1Represents the weighted average sale price. The highest price at which shares were sold was $71.84 and the lowest price at which shares were sold was $71.43
- F2Represents the weighted average sale price. The highest price at which shares were sold was $71.92 and the lowest price at which shares were sold was $71.22