-----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, Dy0egV55ywjuE1VRyYxbbVq545QVeA1aj0ODx8Hvj8knyP8jzHx7iGaxKZ9Ms6go o6P4ia1ePG4dzueDbKEwMQ== 0000950130-00-000678.txt : 20000215 0000950130-00-000678.hdr.sgml : 20000215 ACCESSION NUMBER: 0000950130-00-000678 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000214 GROUP MEMBERS: FULLER MORTIMER B III GROUP MEMBERS: OVERLOOK ESTATE FOUNDATION INC 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: 542038 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: FULLER MORTIMER B III CENTRAL INDEX KEY: 0001032793 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: CT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 71 LEWIS STREET CITY: GREENWICH STATE: CT ZIP: 06830 MAIL ADDRESS: STREET 1: 71 LEWIS STREET CITY: GREENWICH STATE: CT ZIP: 06830 SC 13G 1 SCHEDULE 13G CUSIP No. 371559 10 5 (Page 1 of 8 Pages) SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No. 3) Genesee & Wyoming Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Class A Common Stock, $.01 par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 371559 10 5 - -------------------------------------------------------------------------------- (CUSIP Number) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ ] Rule 13d-1(c) [X] Rule 13d-1(d) CUSIP No. 371559 10 5 (Page 2 of 8 Pages) 1 Names of Reporting Persons I.R.S. Identification Nos. of Above Persons (Entities Only) Mortimer B.Fuller, III(individually, as Trustee, and as Co-Executor) Overlook Estate Foundation, Inc.(Mortimer B.Fuller, III, President) (See Item 2(a) for a description of Mr.Fuller's Trustee and Co-Executor capacities) - -------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Citizenship or Place of Organization Mortimer B.Fuller, III is a United States citizen; Overlook Estate Foundation, Inc. is a Delaware not-for-profit membership corporation. - -------------------------------------------------------------------------------- 5 Sole Voting Power: Mortimer B. Fuller, III - 948,871 Number of Overlook Estate Foundation, Inc. - 21,498 Shares ---------------------------------------------------------- Beneficially 6 Shared Voting Power: Owned by Mortimer B. Fuller, III - 0 Each Overlook Estate Foundation, Inc. - 0 Reporting ---------------------------------------------------------- Person with 7 Sole Dispositive Power: Mortimer B. Fuller, III - 808,700 Overlook Estate Foundation, Inc. - 21,498 ---------------------------------------------------------- 8 Shared Dispositive Power: Mortimer B. Fuller, III - 0 Overlook Estate Foundation, Inc. - 0 - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person Mortimer B.Fuller, III - 948,871 Overlook Estate Foundation, Inc. - 21,498 - -------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)[ ] - -------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row (9) 20.4% - -------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) 00 (a Group) - -------------------------------------------------------------------------------- CUSIP No. 371559 10 5 (Page 3 of 8 Pages) Item 1(a). Name of Issuer: Genesee & Wyoming Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 71 Lewis Street Greenwich, Connecticut 06830 Item 2(a). Names of Persons Filing: Mortimer B. Fuller, III, individually, as Trustee of the Residuary Trust u/w of Mortimer B. Fuller, Jr., as Trustee of the Frances A. Fuller Family Trust, and as Co-Executor of the Estate of Frances A. Fuller Overlook Estate Foundation, Inc., a Delaware not-for-profit membership corporation (Mortimer B. Fuller, III, President) Item 2(b). Address of Principal Business Office, or, if None, Residence: For all members of group: c/o Genesee & Wyoming Inc. 71 Lewis Street Greenwich, Connecticut 06830 Item 2(c). Citizenship: Mortimer B. Fuller, III is a United States citizen; Overlook Estate Foundation, Inc. is a Delaware not-for-profit membership corporation. Item 2(d). Title of Class of Securities: Class A Common Stock, $.01 par value Item 2(e). CUSIP Number: 371559 10 5 Item 3. Statements Filed Pursuant to Rules 13d-1(b) or 13d-2(b) or (c): Not Applicable CUSIP No. 371559 10 5 (Page 4 of 8 Pages)
Item 4. Ownership. (a) Amount Beneficially Owned: 970,369 shares (including shares of the Issuer's Class B Common Stock)(see Exhibit 1) (b) Percent of Class: 20.4% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: Mortimer B. Fuller, III - 948,871 Overlook Estate Foundation, Inc. - 21,498 (ii) shared power to vote or to direct the vote: Mortimer B. Fuller, III (in any capacity) - 0 Overlook Estate Foundation, Inc. - 0 (iii) sole power to dispose or to direct the disposition of: Mortimer B. Fuller, III (individually, and as Trustee) - 808,700 Overlook Estate Foundation, Inc. - 21,498 (iv) shared power to dispose or to direct the disposition of: Mortimer B. Fuller, III (in any capacity) - 0 Overlook Estate Foundation, Inc. - 0
Pursuant to Rule 13d-4, each member of the group expressly declares that the filing of this Schedule 13G shall not be construed as an admission that such member is, for purposes of Section 13(d) or 13(g) of the Securities Exchange Act of 1934, the beneficial owner of shares owned by the other members of the group. Item 5. Ownership of Five Percent or Less of a Class. Not Applicable Item 6. Ownership of More than Five Percent on Behalf of Another Person. Not Applicable CUSIP No. 371559 10 5 (Page 5 of 8 Pages) Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person. Not Applicable Item 8. Identification and Classification of Members of the Group. See Exhibit 1 Item 9. Notice of Dissolution of Group. Not Applicable Item 10. Certification. Not Applicable CUSIP No. 371559 10 5 (Page 6 of 8 Pages) 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. Dated: February 9, 2000 /s/ Mortimer B. Fuller, III --------------------------------------------- Mortimer B. Fuller, III Dated: February 9, 2000 /s/ Mortimer B. Fuller, III --------------------------------------------- Mortimer B. Fuller, III, as Trustee of the Residuary Trust u/w of Mortimer B. Fuller, Jr. Dated: February 9, 2000 /s/ Mortimer B. Fuller, III --------------------------------------------- Mortimer B. Fuller, III, as Trustee of the Frances A. Fuller Family Trust Dated: February 9, 2000 /s/ Mortimer B. Fuller, III --------------------------------------------- Mortimer B. Fuller, III, as Co-Executor of the Estate of Frances A. Fuller Overlook Estate Foundation, Inc. Dated: February 9, 2000 By: /s/ Mortimer B. Fuller, III ------------------------------------------ Mortimer B. Fuller, III, President CUSIP No. 371559 10 5 (Page 7 of 8 Pages) Exhibit 1 This Amendment to Schedule 13G is being filed by a group pursuant to Rule 13d-5(b)(1). The members of the group are as follows: Mortimer B. Fuller, III, individually, as Trustee of the Residuary Trust u/w of Mortimer B. Fuller, Jr., as Trustee of the Frances A. Fuller Family Trust, and as Co-Executor of the Estate of Frances Fuller; and Overlook Estate Foundation, Inc. (Mortimer B. Fuller, III, President). Mr. Fuller holds an irrevocable proxy, expiring in 2008, to vote all of the shares held by the Residuary Trust u/w of Mortimer B. Fuller, Jr. and by the Estate of Frances A. Fuller. The shares of the Issuer's Class A Common Stock, par value $.01 per share, reported in this Amendment to Schedule 13G consist of: (a) shares of Class A Common Stock beneficially owned by the members of the group in the various capacities indicated (including shares issuable under presently exercisable options held by Mortimer B. Fuller, III) (see table below); and (b) shares of the Issuer's Class B Common Stock, par value $.01 per share, beneficially owned by such members in the various capacities indicated. The Issuer's Class B Common Stock, which is not registered pursuant to Section 12 of the Securities Exchange Act of 1934, as amended, has ten votes per share (as compared with the Class A Common Stock, which has one vote per share), and is freely convertible into an equal number of shares of Class A Common Stock. The beneficial ownership of the Issuer's Class A Common Stock and Class B Common Stock by each member of the group as of December 31, 1999 is as follows:
=============================================================================================== Class A Class B Common Stock Common Stock Beneficially Beneficially Member of Group Owned Owned TOTAL - ----------------------------------------------------------------------------------------------- Mortimer B. Fuller, III, individually *126,231 277,505 *403,736 - ----------------------------------------------------------------------------------------------- Mortimer B. Fuller, III, as Trustee of 78,607 298,607 377,214 the Residuary Trust u/w of Mortimer B. Fuller, Jr. - ----------------------------------------------------------------------------------------------- Mortimer B. Fuller, III, as Trustee of 27,750 0 27,750 the Frances A. Fuller Family Trust - ----------------------------------------------------------------------------------------------- Mortimer B. Fuller, III, as Co-Executor of the Estate of Frances A. Fuller 58,000 82,171 140,171 - ----------------------------------------------------------------------------------------------- Overlook Estate Foundation, Inc. 21,498 0 21,498 (Mortimer B. Fuller, III, President) - ----------------------------------------------------------------------------------------------- TOTAL 312,086 658,283 970,369 ===============================================================================================
* Includes 98,750 shares issuable under presently exercisable options. CUSIP No. 371559 10 5 (Page 8 of 8 Pages) Exhibit 2 AGREEMENT The undersigned agree that this Amendment to Schedule 13G under the Securities Exchange Act of 1934, as amended, relating to shares of the Class A Common Stock of Genesee & Wyoming Inc., to which this Agreement is an Exhibit and which is to be filed with the Securities and Exchange Commission, is filed on behalf of each of the undersigned. Dated: February 9, 2000 /s/ Mortimer B. Fuller, III -------------------------------------------- Mortimer B. Fuller, III Dated: February 9, 2000 /s/ Mortimer B. Fuller, III -------------------------------------------- Mortimer B. Fuller, III, as Trustee of the Residuary Trust u/w of Mortimer B. Fuller, Jr. Dated: February 9, 2000 /s/ Mortimer B. Fuller, III -------------------------------------------- Mortimer B. Fuller, III, as Trustee of the Frances A. Fuller Family Trust Dated: February 9, 2000 /s/ Mortimer B. Fuller, III -------------------------------------------- Mortimer B. Fuller, III, as Co-Executor of the Estate of Frances A. Fuller Overlook Estate Foundation, Inc. Dated: February 9, 2000 By: /s/ Mortimer B. Fuller, III ---------------------------------------------- Mortimer B. Fuller, III, President -----END PRIVACY-ENHANCED MESSAGE-----