-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, MIJdBUdUQyfXLFkAd4rqdC++gPw0robERZh901nWsWTzabfI8azyXld/qOkxeHAY BT1dwpYu54TbK6teW15gFg== 0001067327-99-000018.txt : 19990217 0001067327-99-000018.hdr.sgml : 19990217 ACCESSION NUMBER: 0001067327-99-000018 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990216 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GENESEE & WYOMING INC CENTRAL INDEX KEY: 0001012620 STANDARD INDUSTRIAL CLASSIFICATION: RAILROADS, LINE-HAUL OPERATING [4011] IRS NUMBER: 060984624 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-48165 FILM NUMBER: 99543335 BUSINESS ADDRESS: STREET 1: 71 LEWIS ST CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2036293722 MAIL ADDRESS: STREET 1: 71 LEWIS STREET STREET 2: 71 LEWIS STREET CITY: GREENWICH STATE: CT ZIP: 06830 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: AWAD ASSET MANAGEMENT INC /ADV CENTRAL INDEX KEY: 0001067327 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 582372400 STATE OF INCORPORATION: FL FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 250 PARK AVENUE 2ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10177 BUSINESS PHONE: 2123701124 MAIL ADDRESS: STREET 1: 880 CARILLON PKWY CITY: ST PETERSBURG STATE: FL ZIP: 33716 FORMER COMPANY: FORMER CONFORMED NAME: AWAD ASSET MANAGEMENT INC /ADV DATE OF NAME CHANGE: 19990211 SC 13G 1 February 12, 1999 Securities and Exchange Commission 450 Fifth Street NW Washington, DC 20549 RE: Schedule 13G Genesee & Wyoming, Inc. As of December 31, 1998 Gentlemen: In accordance with Section 13(d)(5) of the Securities Exchange Act of 1934, attached please find a copy of Schedule 13G for the above named company showing beneficial ownership of 10% or more as of December 31, 1998 filed on behalf of Awad Asset Management, Inc. Very truly yours, Kenneth K. Koster Chief Compliance Officer KKK:jmw Enclosures cc: Office of the Corporate Secretary Genesee & Wyoming, Inc. 71 Lewis Street Greenwich, CT 06830 Securities Division NASD Financial Center 33 Whitehall Street New York, NY 10004 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Genesee & Wyoming, Inc. (Name of Issuer) Common Stock par value $.01 per share (Title of Class of Securities) 371559105 (CUSIP Number) Check the following box if a fee is being paid with this statement _____. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 of 5 Pages CUSIP NO. 371559105 13G NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Awad Asset Management, Inc. 58-2372400 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A)______ (B)______ 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION State of New York NUMBER OF 5 SOLE VOTING POWER SHARES 688,400 BENEFICIALLY 6 SHARED VOTING POWER OWNED - - - AS OF DECEMBER 31, 1998 7 SOLE DISPOSITIVE POWER BY EACH 688,400 REPORTING 8 SHARED DISPOSITIVE POWER PERSON WITH - - - 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 688,400 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)EXCLUDES CERTAIN SHARES* 11 PERCENT OF CLASS RPRESENTED BY AMOUNT IN ROW 9 13.9% 12 TYPE OF REPORTING PERSON* IA *SEE INSTRUCTION BEFORE FILLING OUT! Page 2 of 5 Pages Item 1(a) Name of Issuer: Genesee & Wyoming, Inc. Item 1(b) Address of Issuer's Principal Executing Offices: 71 Lewis Street Greenwich, CT 06830 Item 2(a) Name of Person Filing: Awad Asset Management, Inc. Item 2(b) Address of Principal Business Office: 250 Park Avenue, 2nd Floor New York, NY 10177 Item 2(c) Citizenship: New York Item 2(d) Title of Class of Securities: Common Stock par value $.01 per share Item 2(e) CUSIP Number: 371559105 Item 3 Type of Reporting Person: (e) Investment Adviser registered under Section 203 of the Investment Advisors Act of 1940 Page 3 of 5 Pages Item 4 Ownership as of December 31, 1998: (a) Amount Beneficially Owned: 688,400 shares of common stock beneficially owned including: No. of Shares Awad Asset Management, Inc. 688,400 (b) Percent of Class: 13.9% (c) Deemed Voting Power and Disposition Power: (i) (ii) (iii) (iv) Deemed Deemed Deemed Deemed to have to have to have to have Sole Power Shared Power Sole Power Shared Power to Dispose to Dispose to Vote or to Vote or or to or to to Direct to Direct Direct the Direct the to Vote to Vote Disposition Disposition Awad Asset 688,400 ---- 688,400 ---- Management, Inc. Item 5 Ownership of Five Percent or Less of a Class: If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following. (____) Item 6 Ownership of More than Five Percent on Behalf of Another Person: N/A Item 7 Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company: N/A Page 4 of 5 Pages Item 8 Identification and Classification of Members of the Group: N/A Item 9 Notice of Dissolution of Group: N/A Item 10 Certification: By signing below I certify that to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. Signature After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: February 12, 1999 AWAD ASSET MANAGEMENT, INC. __________________________________ Kenneth K. Koster Chief Compliance Officer Page 5 of 5 Pages -----END PRIVACY-ENHANCED MESSAGE-----