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
  1. Represents the weighted average sales price for the price increments ranging from $45.88 to $45.99.
  2. 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.
  3. Represents the weighted average sales price for the price increments ranging from $46.00 to $46.92.
  4. These shares are held by Mr. Fuller's wife. Mr. Fuller disclaims beneficial ownership of these shares.
  5. 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.
  6. 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.
  7. These shares are held in a Grantor Retained Annuity Trust, of which Mr. Fuller is the Trustee.
  8. 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.
  9. This option was granted under the Geneseee & Wyoming Inc. Amended and Restated 2004 Omnibus Incentive Plan and became vested on June 2, 2006.
  10. 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.
  11. 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.