-----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, Bpbp1XOx/wTtN9UsZIrDfYa23TccG4paImLcrv+4geH3v4ySXHmqHWUOr1ft55GU +fmx/uJAVdZtxuovfZgWpg== 0000950142-03-000412.txt : 20030305 0000950142-03-000412.hdr.sgml : 20030305 20030305155411 ACCESSION NUMBER: 0000950142-03-000412 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030303 FILED AS OF DATE: 20030305 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31456 FILM NUMBER: 03593260 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: COMPANY DATA: COMPANY CONFORMED NAME: LONG T MICHAEL CENTRAL INDEX KEY: 0001052089 RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 59 WALL STREET CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 2124937882 MAIL ADDRESS: STREET 1: 59 WALL STREET CITY: NEW YORK STATE: NY ZIP: 10005 4 1 form4-tmlong_030303.txt STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ------------------------------ OMB APPROVAL ------------------------------ OMB Number: 3235-0287 Expires: January 31, 2005 Estimated average burden hours per response ....... 0.5 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 [_] Check this box if no longer subject of Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). (Print or Type Responses) ================================================================================ 1. Name and Address of Reporting Person* Long T. Michael - -------------------------------------------------------------------------------- (Last) (First) (Middle) c/o Brown Brothers Harriman & Co. 140 Broadway - -------------------------------------------------------------------------------- (Street) New York NY 10005 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name AND Ticker or Trading Symbol Genesee & Wyoming Inc. (GWR) ================================================================================ 3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) ================================================================================ 4. Statement for Month/Day/Year 3/03/03 ================================================================================ 5. If Amendment, Date of Original (Month/Day/Year) ================================================================================ 6. Relationship of Reporting Person to Issuer (Check all applicable) [X] Director [X] 10% Owner [_] Officer (give title below) [_] Other (specify below) ================================================================================ 7. Individual or Joint/Group Filing (Check Applicable Line) [X] Form Filed by One Reporting Person [_] Form Filed by More than One Reporting Person ================================================================================ TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED ================================================================================
5. Amount of 6. 4. Securities Owner- Securities Acquired (A) or Beneficially ship 2. 2A. 3. Disposed of (D) Owned Follow- Form: 7. Transac- Deemed Transaction (Instr. 3, 4 and 5) ing Reported Direct Nature of tion Execution Code ------------------------------- Transac- (D) or Indirect 1. Date Date, if any (Instr. 8) (A) tions(s) Indirect Beneficial Title of Security (Month/ (Month/ ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) Day/Year) Day/Year) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock, $.01 par value -0- (8) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one Reporting Person, see Instruction 4(b)(v). PERSONS WHO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB NUMBER. (Over) SEC 1474 (9-02) FORM 4 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) ================================================================================
9. Number 10. of Owner- Deriv- ship ative Form 2. Secur- of Conver- 5. 7. ities Deriv- 11. sion 3A Number of Title and Amount Bene- ative Nature or Deemed Derivative 6. of Underlying 8. ficially Secur- of Exer- Exe- 4. Securities Date Securities Price Owned ity: In- cise 3. cution Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of Follow- Direct direct Price Trans- Date, action or Disposed Expiration Date ---------------- Deriv- ing Re- (D) or Bene- 1. of action if Code of (D) (Month/Day/Year) Amount ative ported In- ficial Title of Deriv- Date any (Instr. (Instr. 3, ---------------- or Secur- Trans- direct Owner- Derivative ative (Month/ (Month/ 8) 4 and 5) Date Expira- Number ity action(s) (I) ship Security Secur- Day/ Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ----------------------------------------------------------------------------------------------------------------------------------- Stock Option Class A (Right to Buy) $12.3333 (1) (1) 1/10/11 Common 4,500(1) 4,500 (1) D Stock, $.01 par value - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option Class A (Right to Buy) $19.9667 (2) (2) 1/10/12 Common 2,250(2) 2,250 (2) D Stock, $.01 par value - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option Class A (Right to Buy) $20.92 (3) (3) 1/10/13 Common 2,250(3) 2,250 (3) D Stock, $.01 par value - ------------------------------------------------------------------------------------------------------------------------------------ Phantom Class A Stock Units -0- (4) (4) (4) Common 1,654.632 1,654.632 D Stock, (4) (4) $.01 par value - ------------------------------------------------------------------------------------------------------------------------------------ Phantom Class A Stock Units -0- (4) (4) (4) Common 1,138.99 1,138.99 D Stock, (4) (4) $.01 par value - ------------------------------------------------------------------------------------------------------------------------------------ Phantom Class A Stock Unit -0- (5) (5) (5) Common 342.47 342.47 D Stock, (5) (5) $.01 par value - ------------------------------------------------------------------------------------------------------------------------------------ Phantom Class A Stock Unit -0- 3/03/03 A 592.32 (6) (6) Common 592.32 592.32 D (6) Stock, (6) (6) $.01 par value - ------------------------------------------------------------------------------------------------------------------------------------ Series A Senior Redeemable Convertible Participating Preferred Class A Stock, par Common value $.01 per Stock, share (7) Immed- N/A $.01 par iately value (8) $1,000 25,000 (8) I (9) - ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: (1) This option was previously reported. The Reporting Person can exercise the option as follows: 1,500 shares on 1/11/02, 1,500 shares on 1/11/03, and 1,500 shares on 1/11/04. (2) This option was previously reported. The Reporting Person can exercise the option as follows: 750 shares on 1/11/03, 750 shares on 1/11/04, and 750 shares on 1/11/05. (3) This option was previously reported. The Reporting Person can exercise the option as follows: 750 shares on 1/11/04, 750 shares on 1/11/05, and 750 shares on 1/11/06. (4) These aggregated Phantom Stock Units were previously reported by the Reporting Person. The Units were credited to the Reporting Person's account under the Issuer's Deferred Stock Plan for Non-Employee Directors. The Units are to be settled in the Issuer's Common Stock on a deferred basis pursuant to the Reporting Person's prior election. (5) This Phantom Stock Unit was previously reported by the Reporting Person. The Unit was credited to the Reporting Person's account under the Issuer's Deferred Stock Plan for Non-Employee Directors. The Unit is to be settled in the Issuer's Common Stock on a deferred basis pursuant to the Reporting Person's prior election. (6) This Phantom Stock Unit was credited to Reporting Person's account on 3/03/03 at $15.30 per share under the Issuer's Deferred Stock Plan for Non-Employee Directors in a transaction exempt under Rule 16b-3. The Unit is to be settled in the Issuer's Common Stock on a deferred basis pursuant to Reporting Person's prior election. (7) As previously reported, $1,000 per share of Preferred Stock divided by the Conversion Price, set at $10.2222, but subject to adjustment. (8) As previously reported, convertible into 2,445,652 shares of Class A Common Stock, subject to adjustment. In addition, the Reporting Person may, pursuant to Rule 13d-3 of the Securities Exchange Act of 1934, as amended, be deemed to own certain shares of Class A Common Stock of Genesee & Wyoming Inc. owned by Mortimer B. Fuller, III as a result of a voting agreement. The Reporting Person disclaims beneficial ownership of such shares. (9) By The 1818 Fund III, L.P. (the "1818 Fund III"). The Reporting Person is a general partner of Brown Brothers Harriman & Co. ("BBH"), the general partner of the 1818 Fund III, and, as such, his pecuniary interest in the securities is limited to his percentage interest in BBH's interest in such securities. /s/ T. Michael Long March 5, 2003 - ---------------------------------------- ------------------------- **Signature of Reporting Person Date T. Michael Long **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, See Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number. Page 2 -----END PRIVACY-ENHANCED MESSAGE-----