0001181431-12-060873.txt : 20121128 0001181431-12-060873.hdr.sgml : 20121128 20121128170150 ACCESSION NUMBER: 0001181431-12-060873 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121126 FILED AS OF DATE: 20121128 DATE AS OF CHANGE: 20121128 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: 121229626 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 rrd361474.xml NOVEMBER 2012 X0306 4 2012-11-26 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 2012-11-26 4 M 0 22 42.99 A 17266 D Class A Common Stock, $0.01 par value 2012-11-26 4 M 0 583 31.82 A 17849 D Class A Common Stock, $0.01 par value 2012-11-26 4 M 0 5069 31.38 A 22918 D Class A Common Stock, $0.01 par value 2012-11-26 4 S 0 5674 73.26 D 17244 D Class A Common Stock, $0.01 par value 2012-11-27 4 M 0 36 42.99 A 17280 D Class A Common Stock, $0.01 par value 2012-11-27 4 M 0 30075 39.08 A 47355 D Class A Common Stock, $0.01 par value 2012-11-27 4 M 0 3980 22.98 A 51335 D Class A Common Stock, $0.01 par value 2012-11-27 4 M 0 3978 20.89 A 55313 D Class A Common Stock, $0.01 par value 2012-11-27 4 M 0 4949 28.92 A 60262 D Class A Common Stock, $0.01 par value 2012-11-27 4 M 0 5182 31.12 A 65444 D Class A Common Stock, $0.01 par value 2012-11-27 4 S 0 17124 72.63 D 48320 D Class A Common Stock, $0.01 par value 2012-11-27 4 S 0 30576 73.25 D 17744 D Class A Common Stock, $0.01 par value 2012-11-27 4 S 0 500 74.31 D 17244 D Class A Common Stock, $0.01 par value 2012-11-28 4 M 0 2500 42.99 A 19744 D Class A Common Stock, $0.01 par value 2012-11-28 4 S 0 2500 72.20 D 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 Stock Option (Right to Buy) 42.99 2012-11-26 4 M 0 22 0 D 2013-05-26 Class A Common Stock, $0.01 par value 22 2536 D Stock Option (Right to Buy) 31.82 2012-11-26 4 M 0 583 0 D 2014-05-28 Class A Common Stock, $0.01 par value 583 0 D Stock Option (Right to Buy) 31.38 2012-11-26 4 M 0 5069 0 D 2014-08-30 Class A Common Stock, $0.01 par value 5069 0 D Stock Option (Right to Buy) 42.99 2012-11-27 4 M 0 36 0 D 2013-05-26 Class A Common Stock, $0.01 par value 36 2500 D Stock Option (Right to Buy) 39.08 2012-11-27 4 M 0 30075 0 D 2013-05-26 Class A Common Stock, $0.01 par value 30075 0 D Stock Option (Right to Buy) 22.98 2012-11-27 4 M 0 3980 0 D 2014-02-26 Class A Common Stock, $0.01 par value 3980 0 D Stock Option (Right to Buy) 20.89 2012-11-27 4 M 0 3978 0 D 2014-02-26 Class A Common Stock, $0.01 par value 3978 0 D Stock Option (Right to Buy 28.92 2012-11-27 4 M 0 4949 0 D 2014-05-28 Class A Common Stock, $0.01 par value 4949 0 D Stock Option (Right to Buy 31.12 2012-11-27 4 M 0 5182 0 D 2014-11-29 Class A Common Stock, $0.01 par value 5182 0 D Stock Option (Right to Buy 42.99 2012-11-28 4 M 0 2500 0 D 2013-05-26 Class A Common Stock, $0.01 par value 2500 0 D The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all transactions reported on this Form 4. Represents the weighted average sales price for the price increments ranging from $73.08 to $73.48. Represents the weighted average sales price for the price increments ranging from $71.97 to $72.96. Represents the weighted average sales price for the price increments ranging from $72.97 to $73.95. Represents the weighted average sales price for the price increments ranging from $74.01 to $74.50. Represents the weighted average sales price for the price increments ranging from $71.74 to $72.60. 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. This option award was granted under the Genesee & Wyoming Inc. Second Amended and Restated 2004 Omnibus Incentive Plan and vested on May 27, 2011. This option award was granted under the Genesee & Wyoming Inc. Second Amended and Restated 2004 Omnibus Incentive Plan and vested on February 27, 2012. This option award was granted under the Genesee & Wyoming Inc. Second Amended and Restated 2004 Omnibus Incentive Plan and vested in three equal installments beginning February 27, 2010. This option award was granted under the Genesee & Wyoming Inc. Second Amended and Restated 2004 Omnibus Incentive Plan and vested on May 27, 2011. This option award was granted under the Genesee & Wyoming Inc. Second Amended and Restated 2004 Omnibus Incentive Plan and vested in three equal installments beginning May 27, 2009. This option award was granted under the Genesee & Wyoming Inc. Second Amended and Restated 2004 Omnibus Incentive Plan and vested in two installments beginning February 27, 2011. This option award was granted under the Genesee & Wyoming Inc. Second Amended and Restated 2004 Omnibus Incentive Plan and vested in two installments beginning February 27, 2010. This option award was granted under the Genesee & Wyoming Inc. Second Amended and Restated 2004 Omnibus Incentive Plan and vested in three equal installments beginning February 27, 2010. This option award was granted under the Genesee & Wyoming Inc. Second Amended and Restated 2004 Omnibus Incentive Plan and vested in three equal installments beginning February 27, 2010. This option award was granted under the Genesee & Wyoming Inc. Second Amended and Restated 2004 Omnibus Incentive Plan and vested on May 27, 2011. Allison M. Fergus, Attorney-in-Fact for Mortimer B. Fuller III 2012-11-28