Filing Details
- Accession Number:
- 0001181431-10-054031
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-11-08 16:23:21
- Reporting Period:
- 2010-11-04
- Filing Date:
- 2010-11-08
- Accepted Time:
- 2010-11-08 16:23:21
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1012620 | Genesee & Wyoming Inc | GWR | Railroads, Line-Haul Operating (4011) | 060984624 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1032793 | Iii B Mortimer Fuller | 66 Field Point Road Greenwich CT 06830 | Yes | No | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Class A Common Stock, $0.01 Par Value | Acquisiton | 2010-11-04 | 3,400 | $32.35 | 34,022 | No | 4 | M | Direct | |
Class A Common Stock, $0.01 Par Value | Acquisiton | 2010-11-04 | 56,845 | $29.41 | 90,867 | No | 4 | M | Direct | |
Class A Common Stock, $0.01 Par Value | Acquisiton | 2010-11-04 | 136,476 | $30.37 | 227,343 | No | 4 | M | Direct | |
Class A Common Stock, $0.01 Par Value | Acquisiton | 2010-11-04 | 37,084 | $32.35 | 264,427 | No | 4 | M | Direct | |
Class A Common Stock, $0.01 Par Value | Acquisiton | 2010-11-04 | 3,979 | $20.89 | 268,406 | No | 4 | M | Direct | |
Class A Common Stock, $0.01 Par Value | Acquisiton | 2010-11-04 | 2,766 | $28.92 | 271,172 | No | 4 | M | Direct | |
Class A Common Stock, $0.01 Par Value | Acquisiton | 2010-11-04 | 2,535 | $31.38 | 273,707 | No | 4 | M | Direct | |
Class A Common Stock, $0.01 Par Velue | Acquisiton | 2010-11-04 | 2,591 | $31.12 | 276,298 | No | 4 | M | Direct | |
Class A Common Stock, $0.01 Par Value | Disposition | 2010-11-04 | 30,000 | $45.95 | 246,298 | No | 4 | S | Direct | |
Class A Common Stock, $0.01 Par Value | Disposition | 2010-11-04 | 220,128 | $46.56 | 26,170 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Class A Common Stock, $0.01 Par Value | Stock Option (Right to Buy) | Disposition | 2010-11-04 | 3,400 | $0.00 | 3,400 | $32.35 |
Class A Common Stock, $0.01 Par Value | Stock Option (Right to Buy) | Disposition | 2010-11-04 | 56,845 | $0.00 | 56,845 | $29.41 |
Class A Common Stock, $0.01 Par Value | Stock Option (Right to Buy) | Disposition | 2010-11-04 | 136,476 | $0.00 | 136,476 | $30.37 |
Class A Common Stock, $0.01 Par Value | Stock Option (Right to Buy) | Disposition | 2010-11-04 | 37,084 | $0.00 | 37,084 | $32.35 |
Class A Common Stock, $0.01 Par Value | Stock Option (Right to Buy) | Disposition | 2010-11-04 | 3,979 | $0.00 | 3,979 | $20.89 |
Class A Common Stock, $0.01 Par Value | Stock Option (Right to Buy) | Disposition | 2010-11-04 | 2,766 | $0.00 | 2,766 | $28.92 |
Class A Common Stock, $0.01 Par Value | Stock Option (Right to Buy) | Disposition | 2010-11-04 | 2,535 | $0.00 | 2,535 | $31.38 |
Class A Common Stock, $0.01 Par Value | Stock Option (Right to Buy) | Disposition | 2010-11-04 | 2,591 | $0.00 | 2,591 | $31.12 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2011-05-29 | No | 4 | M | Direct | |
0 | 2011-05-29 | No | 4 | M | Direct | |
0 | 2011-06-01 | No | 4 | M | Direct | |
0 | 2012-05-29 | No | 4 | M | Direct | |
3,978 | 2014-02-26 | No | 4 | M | Direct | |
4,949 | 2014-05-28 | No | 4 | M | Direct | |
5,069 | 2014-08-30 | No | 4 | M | Direct | |
5,182 | 2014-11-29 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Class A Common Stock, $0.01 Par Value | 5,956 | Indirect | By wife. |
Class B Common Stock, $0.01 Par Value | 1,286,824 | Direct | |
Class B Common Stock, $0.01 Par Value | 5,748 | Indirect | By wife |
Class B Common Stock, $0.01 Par Value | 345,070 | Indirect | By Grantor Retained Annuity Trust |
Footnotes
- Represents the weighted average sales price for the price increments ranging from $45.88 to $45.99.
- The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all transactions reported on this Form 4.
- Represents the weighted average sales price for the price increments ranging from $46.00 to $46.92.
- These shares are held by Mr. Fuller's wife. Mr. Fuller disclaims beneficial ownership of these shares.
- This Class B Common Stock is not registered pursuant to Section 12 of the Act. However, each share of Class B Common Stock is freely convertible into one share of Class A Common Stock.
- Reflects a distribution effected on October 15, 2010 of 154,930 shares of Class B Common Stock to Mr. Fuller by a Grantor Retained Annuity Trust, of which Mr. Fuller is the Trustee.
- These shares are held in a Grantor Retained Annuity Trust, of which Mr. Fuller is the Trustee.
- This option was granted under the Genesee & Wyoming Inc. Amended and Restated 2004 Omnibus Incentive Plan and became vested in three equal annual installments, beginning May 30, 2007.
- This option was granted under the Geneseee & Wyoming Inc. Amended and Restated 2004 Omnibus Incentive Plan and became vested on June 2, 2006.
- This option was granted under the Genesee & Wyoming Inc. Amended and Restated 2004 Omnibus Incentive Plan and became vested in three equal annual installments, beginning May 30, 2008.
- This option was granted under the Genesee & Wyoming Inc. Amended and Restated 2004 Omnibus Incentive Plan and became vested in three equal annual installments, beginning February 27, 2010.