0001181431-12-053016.txt : 20121002 0001181431-12-053016.hdr.sgml : 20121002 20121002171042 ACCESSION NUMBER: 0001181431-12-053016 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121002 DATE AS OF CHANGE: 20121002 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: 121124432 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 1 rrd357186.xml SEPTEMBER 30 AWARD X0306 4 2012-09-30 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 2012-09-30 4 A 0 391 67.91 A 17244 D Class A Common Stock, $0.01 par value 5955.5 I By wife Class B Common Stock, $0.01 par value 1124863 D Class B Common Stock, $0.01 par value 5748 I By wife Class B Common Stock, $0.01 par value 98675 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. Allison M. Fergus, Attorney-in-Fact for Mortimer B. Fuller III 2012-10-02