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