0001181431-13-030157.txt : 20130523 0001181431-13-030157.hdr.sgml : 20130523 20130523161750 ACCESSION NUMBER: 0001181431-13-030157 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130521 FILED AS OF DATE: 20130523 DATE AS OF CHANGE: 20130523 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HELLMANN JOHN C CENTRAL INDEX KEY: 0001241524 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31456 FILM NUMBER: 13868530 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: 20 WEST AVENUE CITY: DARIEN STATE: CT ZIP: 06820 BUSINESS PHONE: 2032028900 MAIL ADDRESS: STREET 1: 20 WEST AVENUE CITY: DARIEN STATE: CT ZIP: 06820 4 1 rrd380808.xml X0306 4 2013-05-21 0 0001012620 GENESEE & WYOMING INC GWR 0001241524 HELLMANN JOHN C 20 WEST AVENUE DARIEN CT 06820 1 1 0 0 Chief Exec. Officer & Pres. Class A Common Stock, $.01 par value 2013-05-21 4 M 0 3837 39.08 A 250959 D Class A Common Stock, $.01 par value 2013-05-21 4 S 0 2837 92.38 D 248122 D Class A Common Stock, $.01 par value 2013-05-21 4 S 0 1000 92.80 D 247122 D Class A Common Stock, $.01 par value 2013-05-22 4 M 0 44247 39.08 A 291369 D Class A Common Stock, $.01 par value 2013-05-22 4 S 0 30069 91.10 D 261300 D Class A Common Stock, $.01 par value 55555 I By Trust Stock Option (Right to Buy) 39.08 2013-05-21 4 M 0 3837 0 D 2013-05-26 Class A Common Stock, $.01 par value 3837 44247 D Stock Option (Right to Buy) 39.08 2013-05-22 4 M 0 44247 0 D 2013-05-26 Class A Common Stock, $.01 par value 44247 0 D Class B Common Stock, $.01 par value Class A Common Stock, $.01 par value 1872 D The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 1, 2012. 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 in this Form 4. Represents the weighted average sales price for the price increments ranging from $91.65 and $92.62. Represents the weighted average sales price for the price increments ranging from $92.76 to $92.84. Represents the weighted average sales price for the price increments ranging from $90.64 to $91.54. Held by a trust of which Mr. Hellmann is investment trustee for the benefit of family members of Mr. Hellmann. This option award was granted under the Genesee & Wyoming Inc. Second Amended and Restated 2004 Omnibus Incentive Plan and vested in three equal annual installments, beginning May 27, 2009. 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. Allison M. Fergus, Attorney-in-Fact for John C. Hellmann 2013-05-23