0001209191-17-016158.txt : 20170301 0001209191-17-016158.hdr.sgml : 20170301 20170301191408 ACCESSION NUMBER: 0001209191-17-016158 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170201 FILED AS OF DATE: 20170301 DATE AS OF CHANGE: 20170301 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Liucci Christopher F CENTRAL INDEX KEY: 0001357720 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31456 FILM NUMBER: 17656375 MAIL ADDRESS: STREET 1: C/O GENESEE & WYOMING STREET 2: 66 FIELD POINT ROAD CITY: GREENWICH STATE: CT ZIP: 06830 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-02-01 0 0001012620 GENESEE & WYOMING INC GWR 0001357720 Liucci Christopher F C/O GENESEE & WYOMING INC. 20 WEST AVENUE DARIEN CT 06820 0 1 0 0 Chief Accounting Officer Class A Common Stock, $.01 par value 2017-02-01 4 A 0 640 0.00 A 21090 D Class A Common Stock, $.01 par value 2017-02-26 4 F 0 237 74.31 D 20853 D Class A Common Stock, $.01 par value 2017-02-27 4 M 0 1542 60.54 A 22395 D Class A Common Stock, $.01 par value 2017-02-27 4 F 0 1322 74.70 D 21073 D Class A Common Stock, $.01 par value 2017-02-27 4 F 0 173 74.70 D 20900 D Class A Common Stock, $.01 par value 2017-02-28 4 F 0 136 74.14 D 20764 D Class A Common Stock, $.01 par value 2017-02-28 4 A 0 817 0.00 A 21581 D Stock Option (Right to Buy) 60.54 2017-02-27 4 M 0 1542 0.00 D 2017-02-27 Class A Common Stock, $.01 par value 1542 0 D Stock Option (Right to Buy) 74.14 2017-02-28 4 A 0 6231 0.00 A 2022-02-27 Class A Common Stock, $.01 par value 6231 6231 D Due to an administrative oversight, the shares of Class A Common Stock of the Issuer underlying this previously granted 2016 performance-based restricted stock unit award should have been determined as of February 1, 2017, but was actually certified on March 1, 2017. Represents the number of underlying shares of Class A Common Stock of the Issuer earned in accordance with the Issuer's attainment of pre-determined financial performance targets established under its GVA methodology on the previously granted 2016 performance-based restricted stock unit award. The aforementioned award was also subject to time-based vesting, and vested on February 26, 2017. These shares were surrendered to Genesee & Wyoming Inc. for the payment of taxes in connection with the vesting of the previously granted 2016 performance-based restricted stock unit award. These shares were surrendered to Genesee & Wyoming Inc. for the payment of taxes in connection with the vesting of previously granted restricted stock awards. This annual restricted stock award was granted under the Genesee & Wyoming Inc. Third Amended and Restated 2004 Omnibus Incentive Plan (the "Plan") and will vest in three equal annual installments, beginning February 28, 2018. This option award was granted under the Plan and vested in three equal installments, beginning February 28, 2013. This annual option award was granted under the Plan and will vest in three equal annual installments, beginning February 28, 2018. Allison M. Fergus, Attorney-in-Fact for Christopher F. Liucci 2017-03-01