Filing Details

Accession Number:
0001181431-14-008394
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-02-21 16:14:06
Reporting Period:
2014-02-19
Filing Date:
2014-02-21
Accepted Time:
2014-02-21 16:14:06
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
1241524 C John Hellmann 20 West Avenue
Darien CT 06820
Chief Exec. Officer & Pres. Yes Yes 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, $.01 Par Value Acquisiton 2014-02-19 7,577 $20.89 277,078 No 4 M Direct
Class A Common Stock, $.01 Par Value Disposition 2014-02-19 2,500 $94.32 274,578 No 4 S Direct
Class A Common Stock, $.01 Par Value Disposition 2014-02-19 290 $95.56 274,288 No 4 S Direct
Class A Common Stock, $.01 Par Value Acquisiton 2014-02-20 25,092 $20.89 299,380 No 4 M Direct
Class A Common Stock, $.01 Par Value Disposition 2014-02-20 14,200 $95.25 285,180 No 4 S Direct
Class A Common Stock, $.01 Par Value Disposition 2014-02-20 1,322 $95.94 283,858 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 S 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, $.01 Par Value Stock Option (Right to Buy) Disposition 2014-02-19 7,577 $0.00 7,577 $20.89
Class A Common Stock, $.01 Par Value Stock Option (Right to Buy) Disposition 2014-02-20 25,092 $0.00 25,092 $20.89
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
25,092 2014-02-26 No 4 M Direct
0 2014-02-26 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Class A Common Stock, $.01 Par Value 55,555 Indirect By Trust
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Class A Common Stock, $.01 Par Value Class B Common Stock, $.01 par value $0.00 0 1,872 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
0 1,872 Direct
Footnotes
  1. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 30, 2013.
  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 in this Form 4.
  3. Represents the weighted average sales price for the price increments ranging from $94.23 to $94.50.
  4. Represents the weighted average sales price for the price increments ranging from $95.50 to $95.69.
  5. Represents the weighted average sales price for the price increments ranging from $94.86 to $95.86.
  6. Represents the weighted average sales price for the price increments ranging from $95.87 to $96.07.
  7. Held by a trust of which Mr. Hellmann is investment trustee for the benefit of family members of Mr. Hellmann.
  8. This option award was granted under the Genesee & Wyoming Inc. Second Amended and Restated 2004 Omnibus Incentive Plan and vested in three equal annual installments, on the anniversary date of the grant.
  9. 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.