0001209191-17-016159.txt : 20170301 0001209191-17-016159.hdr.sgml : 20170301 20170301191513 ACCESSION NUMBER: 0001209191-17-016159 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: Fergus Allison M CENTRAL INDEX KEY: 0001379256 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31456 FILM NUMBER: 17656378 MAIL ADDRESS: STREET 1: C/O GENESEE & WYOMING INC 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 0001379256 Fergus Allison M C/O GENESEE & WYOMING INC. 20 WEST AVENUE DARIEN CT 06820 0 1 0 0 General Counsel and Secretary Class A Common Stock, $.01 par value 2017-02-01 4 A 0 2240 0.00 A 60866 D Class A Common Stock, $.01 par value 2017-02-26 4 F 0 769 74.31 D 60097 D Class A Common Stock, $.01 par value 2017-02-27 4 F 0 559 74.70 D 59538 D Class A Common Stock, $.01 par value 2017-02-28 4 F 0 435 74.14 D 59103 D Class A Common Stock, $.01 par value 2017-02-28 4 A 0 2661 0.00 A 61764 D Stock Option (Right to Buy) 74.14 2017-02-28 4 A 0 20294 0.00 A 2022-02-27 Class A Common Stock, $.01 par value 20294 20294 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. All shares are held in a joint account with spouse. 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 the previously granted restricted stock award. This annual restricted stock award was granted under 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 annual option award was granted under the Plan and will vest in three equal annual installments, beginning February 28, 2018. Allison M. Fergus 2017-03-01