-----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, HMIAfNOUf5GcZ0kQxjPY1Bbeo7/Z8NB3x//6SCfjOvTfpNJvmGo60MzPBCHEohxz UGJ7CLsvD7OrRStw67/u2w== 0000891839-03-000092.txt : 20031120 0000891839-03-000092.hdr.sgml : 20031120 20031120183328 ACCESSION NUMBER: 0000891839-03-000092 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031118 FILED AS OF DATE: 20031120 ISSUER: 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 BUSINESS ADDRESS: STREET 1: 66 FIELD POINT ROAD CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2036293722 MAIL ADDRESS: STREET 1: 66 FIELD POINT ROAD CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FULLER MORTIMER B III CENTRAL INDEX KEY: 0001032793 STATE OF INCORPORATION: CT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31456 FILM NUMBER: 031016428 BUSINESS ADDRESS: STREET 1: 66 FIELD POINT ROAD CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 203 629 3722 MAIL ADDRESS: STREET 1: 66 FIELD POINT ROAD CITY: GREENWICH STATE: CT ZIP: 06830 4 1 edgar.xml PRIMARY DOCUMENT X0201 42003-11-18 0001012620 GENESEE & WYOMING INC GWR 0001032793 FULLER MORTIMER B III C/O GENESEE & WYOMING INC. 66 FIELD POINT ROAD GREENWICH CT 06830 1110Chairman of the Board and CEOClass A Common Stock, $.01 par value2003-11-184M04586.6667A28583DClass A Common Stock, $.01 par value2003-11-184S045825.40D28125DClass A Common Stock, $.01 par value2003-11-184M01006.6667A28225DClass A Common Stock, $.01 par value2003-11-184S010025.25D28125DClass A Common Stock, $.01 par value2003-11-184M04006.6667A28525DClass A Common Stock, $.01 par value2003-11-184S040025.11D28125DClass A Common Stock, $.01 par value2003-11-184M03006.666 7A28425DClass A Common Stock, $.01 par value2003-11-184S030025.10D28125DClass A Common Stock, $.01 par value2003-11-184M07006.6667A28825DClass A Common Stock, $.01 par value2003-11-184S070025.03D28125D< /value>Class A Common Stock, $.01 par value2003-11-184M014006.6667A29525DClass A Common Stock, $.01 par value2003-11-184S0140025.02D28125DClass A Common Stock, $.01 par value2003-11-184M01006.6667A28225DClass A Common Stock, $.01 par value2003-11-184S010025.00D28125DClass A Common Stock, $.01 par value2003-11-204M0103716.6667A38496DClass A Common Stock, $.01 par value2003-11-204S01037125.00D28125DClass A Common Stock, $.01 par value2003-11-204M02092910.5833A49054DClass A Common Stock, $.01 par value2003-11-204S02092925.00D28125DClass A Common Stock, $.01 par value4262IBy Wife Class B Common Stock, $.01 par value987103DThird Party Stock Option (Right to Buy)10.88892000-07-142005-06-29Class B Common Stock, $.01 par value198535198535DThird Party Stock Option (Right to Buy)10.88892000-07-182005-06-29Class B Common Stock, $.01 par value198535198535DStock Option (R ight to Buy)7.33332005-04-13Class A Common Stock, $.01 par value2144621446DStock Option (Right to Buy)6.66672003-11-184M034580D2005-04-13Class A Common Stock, $.01 par value2074417286DStock Option (Right to Buy)6.66672003-11-204M0103710D2005-04-13Class A Common Stock, $.01 par value172866915DStock Option (Right to Buy)11.64172006-04-05Class A Common Stock, $.01 par value1439114391DStock Option (Right to Buy)10.58332003-11-204M0209290D2006-04-05Class A Common Stock, $.01 par v alue4185920930DStock Option (Right to Buy)23.492007-05-22Class A Common Stock, $.01 par value4684< sharesOwnedFollowingTransaction>4684DStock Option (Right to Buy)21.352007-05-22Class A Common Stock, $.01 par value3781637816DStock Option (Right to Buy)22.412008-07-30Class A Common Stock, $.01 par value4553845538DStock Optio n (Right to Buy)24.6512008-07-30Class A Common Stock, $.01 par value44624462DThese shares were sold pursuant to a Rule 10b5-1 trading plan effective on November 17, 2003 to sell up to 34,758 shares, as reported in the Genesee & Wyoming Inc. Current Report o n Form 8-K dated November 18, 2003.These shares are held by Mr. Fuller's wife. Mr. Fuller disclaims beneficial ownership of these shares.The 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.This option, previously reported by Mr. Fuller, was granted to Mr. Fuller by a third party in a negotiated transaction. Mr. Fuller holds an irrevocable proxy to vote these shares. This option was previously reported by Mr. Fuller. Mr. Fuller can exercise the option as follows: 7,148 shares on 4/14/01 (exercised on 12/17/01), 7,148 shares on 4/14/02, 7,149 shares on 4/14/03, and 7,149 shares on 4/14/04.This option was previously reported by Mr. Fuller. Mr. Fuller can exercise the option as follows: 6,914 shares on 4/14/01 (exercised on 12/17/01), 6,914 shares on 4/14/02, 6,915 shares on 4/14/03, and 6,915 shares on 4/14/04.This option was previously reported by Mr. Fuller. Mr. Fuller can exercise the option as follows: 4,946 shares on 4/6/04 and 9,445 shares on 4/6/05.This option was previously reported by Mr. Fuller. Mr. Fuller can exercise the option as follows: 10,464 shares on 4/6/02, 10,465 shares on 4/6/03, 10,465 shares on 4/6/04, and 10,465 shares on 4/6/05.This option was previously reported by Mr. Fuller. Mr. Fuller can exercise the option as follows: 1 share on 5/23/05 and 4,683 shares on 5/23/06.This option was previously reported by Mr. Fuller. Mr. Fuller can exercise the option as follows: 10,625 shares on 5/23/03, 10,625 shares on 5/23/04, 10,624 shares on 5/23/05 and 5,942 shares on 5/23/06.This option was previously reported by Mr. Fuller. Mr. Fuller can exercise the option as fol lows: 11,384 shares on 7/31/04, 11,385 shares on 7/31/05, 11,384 shares on 7/31/06 and 11,385 shares on 7/31/07.This option was previously reported by Mr. Fuller. Mr. Fuller can exercise the option as follows: 4,462 shares on 7/31/07.Mortimer B. Fuller, III2003-11-20 -----END PRIVACY-ENHANCED MESSAGE-----