0001209191-17-016162.txt : 20170301
0001209191-17-016162.hdr.sgml : 20170301
20170301191701
ACCESSION NUMBER: 0001209191-17-016162
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: HELLMANN JOHN C
CENTRAL INDEX KEY: 0001241524
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-31456
FILM NUMBER: 17656383
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2017-02-01
0
0001012620
GENESEE & WYOMING INC
GWR
0001241524
HELLMANN JOHN C
C/O GENESEE & WYOMING INC.
20 WEST AVENUE
DARIEN
CT
06820
1
1
0
0
Chief Exec. Officer & Pres.
Class A Common Stock, $.01 par value
2017-02-01
4
A
0
9069
0.00
A
353514
D
Class A Common Stock, $.01 par value
2017-02-26
4
F
0
4438
74.31
D
349076
D
Class A Common Stock, $.01 par value
2017-02-27
4
F
0
3220
74.70
D
345856
D
Class A Common Stock, $.01 par value
2017-02-28
4
F
0
2847
74.14
D
343009
D
Class A Common Stock, $.01 par value
2017-02-28
4
A
0
10772
0.00
A
353781
D
Class A Common Stock, $.01 par value
2017-02-28
4
A
0
35416
0.00
A
389197
D
Class A Common Stock, $.01 par value
55555
I
By Trust
Stock Option (Right to Buy)
74.14
2017-02-28
4
A
0
82167
0.00
A
2022-02-27
Class A Common Stock, $.01 par value
82167
82167
D
Class B Common Stock, $.01 par value
Class A Common Stock, $.01 par value
1872
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 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 retention restricted stock award was granted under the Plan and will vest in three equal installments, beginning February 28, 2020.
Held by a trust of which Mr. Hellmann is investment trustee for the benefit of family members of Mr. Hellmann.
This annual option award was granted under the Plan and will vest in three equal annual installments, beginning February 28, 2018.
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
2017-03-01