-----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, GN23fXDNvgBuYr4HPi3galV+x7dLcb0kK4ng+yK6VEwHyqaIvO7f7CDRuURMxQxy umweUGJq6rSbMtzX7WvzMA== 0000891839-04-000088.txt : 20040602 0000891839-04-000088.hdr.sgml : 20040602 20040602175557 ACCESSION NUMBER: 0000891839-04-000088 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040601 FILED AS OF DATE: 20040602 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HELLMANN JOHN C CENTRAL INDEX KEY: 0001241524 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31456 FILM NUMBER: 04845359 BUSINESS ADDRESS: STREET 1: 66 FIELD POINT ROAD CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 20362937222 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 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2004-06-01 0001012620 GENESEE & WYOMING INC GWR 0001241524 HELLMANN JOHN C C/O GENESEE & WYOMING INC. 66 FIELD POINT ROAD GREENWICH CT 06830 0 1 0 0 Chief Financial Officer Class A Common Stock, $.01 par value 2004-06-01 4 M 0 67500 3.6481 A 77712 D Class A Common Stock, $.01 par value 2004-06-01 4 S 0 67500 21.50 D 10212 D Class B Common Stock, $.01 par value 1248 D Stock Option (Right to Buy) 3.6481 2004-06-01 4 M 0 67500 0 D 2004-01-28 2005-01-27 Class A Common Stock, $.01 par value 67500 0 D Stock Option (Right to Buy) 4.4445 2004-04-14 2005-04-13 Class A Common Stock, $.01 par value 25313 25313 D Stock Option (Right to Buy) 7.0555 2006-04-05 Class A Common Stock, $.01 par value 42188 42188 D Stock Option (Right to Buy) 14.2333 2007-05-22 Class A Common Stock, $.01 par value 37501 37501 D Stock Option (Right to Buy) 14.94 2008-07-30 Class A Common Stock, $.01 par value 45000 45000 D Stock Option (Right to Buy) 23.45 2009-05-11 Class A Common Stock, $.01 par value 37500 37500 D These shares were sold by Mr. Hellmann pursuant to the underwriters' exercise of their over-allotment option under Genesee & Wyoming Inc.'s Registration Statement on Form S-3 (Registration No. 333-115088) and the Prospectus Supplement prepared in connection with such Registration Statement. The $21.50 sale price is the public offering price. This price does not reflect the underwriters' discount or other transactional costs. 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 was previously reported by Mr. Hellmann. This option was previously reported by Mr. Hellmann. Mr. Hellmann can exercise the option as follows: 10,545 shares on 4/6/02, 10,548 shares on 4/6/03, 10,547 shares on 4/6/04 and 10,548 shares on 4/6/05. This option was previously reported by Mr. Hellmann. Mr. Hellmann can exercise the option as follows: 9,375 shares on 5/23/03, 9,375 shares on 5/23/04, 9,375 shares on 5/23/05 and 9,376 shares on 5/23/06. This option was previously reported by Mr. Hellmann. Mr. Hellmann can exercise the option as follows: 11,250 shares on 7/31/04, 11,250 shares on 7/31/05, 11,250 shares on 7/31/06 and 11,250 shares on 7/31/07. This option was previously reported by Mr. Hellmann. Mr. Hellmann can exercise the option as follows: 12,500 shares on 5/12/05, 12,500 shares on 5/12/06 and 12,500 shares on 5/12/07. John C. Hellmann 2004-06-02 -----END PRIVACY-ENHANCED MESSAGE-----