-----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, Jqj6tWVabaGm3XdVAuX6HuIeKs89jz3i7p0fzVqN0+/WVwkY1ybgM6WFhRbE8L20 echGTf1OA7GWNJ/qOl2dcw== 0000891839-03-000094.txt : 20031124 0000891839-03-000094.hdr.sgml : 20031124 20031124174004 ACCESSION NUMBER: 0000891839-03-000094 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031121 FILED AS OF DATE: 20031124 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: 031021405 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 42003-11-21 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 value2003-11-214M0142977.3333A42422DClass A Common Stock, $.01 par value4262IBy Wife Class B Common Stock, $.01 par value987103D Third Party Stock Option (Right to Buy)10.88892000-07-142005-06-29Class B Common Stock, $.01 par value198535198535DThird Party Stock Option (Right to Buy)< /value>10.88892000-07-182005-06-29Class B Common Stock, $.01 par value198535198535DStock Option (Right to Buy)7.33332003 - -11-214M0142970D2005-04-13Class A Common Stock, $.01 par value214467149DStock Option (Right to Buy)6.66672005-04-13Class A Common Stock, $.01 par value69156915DStock Option (Right to Buy)11.64172006-04-05Class A Common Stock, $.01 par value1439114391DStock Option (Right to Buy)10.58332006-04-05< /expirationDate>Class A Common Stock, $.01 par value2093020930DStock Option (Right to Buy)23.492007-05-22Class A Common Stock, $.01 par value46844684DStock 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 Option (Right to Buy)24.6512008-07-30Class A Common Stock, $.01 par value44624462DThese shares are held by Mr. Fuller's wife. Mr. Fuller disclaims beneficial ownership of t hese 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 (exercised on 11/18/03 and 11/20/03), 6,915 shares on 4/14/03 (exercised on 11/20/03), 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 (exercised on 11/20/03), 10,465 shares on 4/6/03 (exercised on 11/20/03), 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 follows: 11,384 shares on 7/31/04, 11,385 shares o n 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, III2003-11-24 -----END PRIVACY-ENHANCED MESSAGE-----