SEC Form 4 · accession 0001246360-18-002119
GATX CORP · GATX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas A. Ellman
Officer — EVP & CFO
Period of report
Aug 27, 2018
Accepted (ET)
Aug 29, 2018 · 4:28 pm EDT
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 | Aug 27, 2018 | M | 8,500 | $44.015 | A | 38,136 | D | |
| Common Stock | Aug 27, 2018 | F | 5,618 | $86.56 | D | 32,518 | D | |
| Common StockF1 | Aug 28, 2018 | S | 1,482 | $85.7757 | D | 31,036 | D | |
| Common StockF2 | Aug 28, 2018 | S | 1,400 | $86.327 | D | 29,636 | D | |
| Common Stock 401(k) | holding | — | — | — | 8,890 | 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 | $44.015 | Aug 27, 2018 | M | 8,500 | D | Jan 26, 2013 | Jan 26, 2019 | Common Stock | 8,500 | 0 | D |
Explanation of responses
- F1Represents the weighted average sale price. The highest price at which shares were sold was $86.25 and the lowest price at which shares were sold was $85.27
- F2Represents the weighted average sale price. The highest price at which shares were sold was $86.42 and the lowest price at which shares were sold was $86.27