0001181431-11-051457.txt : 20111004
0001181431-11-051457.hdr.sgml : 20111004
20111004161258
ACCESSION NUMBER: 0001181431-11-051457
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110630
FILED AS OF DATE: 20111004
DATE AS OF CHANGE: 20111004
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/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-31456
FILM NUMBER: 111123668
MAIL ADDRESS:
STREET 1: 66 FIELD POINT ROAD
CITY: GREENWICH
STATE: CT
ZIP: 06830
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/A
1
rrd323125.xml
FORM 4A
X0304
4/A
2011-06-30
2011-07-01
0
0001012620
GENESEE & WYOMING INC
GWR
0001032793
FULLER MORTIMER B III
66 FIELD POINT ROAD
GREENWICH
CT
06830
1
0
0
0
Class A Common Stock, $0.01 par value
2011-06-30
4
A
0
269
58.06
A
26083
D
Class A Common Stock, $0.01 par value
5955.5
I
By wife
Class B Common Stock, $0.01 par value
1179093.5
D
Class B Common Stock, $0.01 par value
5748
I
By wife
Class B Common Stock, $0.01 par value
247870
I
By Grantor Retained Annuity Trust
Class B Common Stock, $0.01 par value
154930
I
By Grantor Retained Annuity Trust
These are deferred stock units acquired pursuant to the deferred stock arrangements for non-employee directors in accordance with the terms of the Second Amended and Restated 2004 Omnibus Incentive Plan ("Omnibus Plan") of Genesee & Wyoming Inc. (the "Company"). The deferred stock units are converted into shares of the Company's Class A Common Stock on a one-for-one basis upon distribution. Distribution of shares of Class A Common Stock occurs the first day of the calendar month after a director's service on the Company's Board of Directors terminates or upon another date or dates designated by the director pursuant to the Omnibus Plan.
These shares are held by Mr. Fuller's wife. Mr. Fuller disclaims beneficial ownership of these shares.
This 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.
These shares are held in a Grantor Retained Annuity Trust, of which Mr. Fuller is the trustee.
These shares are held in a second Grantor Retained Annuity Trust, of which Mr. Fuller is the trustee.
This Form 4A is being filed to update the Form 4 filed for Mr. Fuller on July 1, 2011 to reflect a corrected transaction date and earliest event recorded date of June 30, 2011.
Allison M. Fergus, Attorney-in-Fact for Mortimer B. Fuller III
2011-10-04