0001209191-19-015764.txt : 20190304 0001209191-19-015764.hdr.sgml : 20190304 20190304172022 ACCESSION NUMBER: 0001209191-19-015764 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190228 FILED AS OF DATE: 20190304 DATE AS OF CHANGE: 20190304 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: 19655130 MAIL ADDRESS: STREET 1: C/O GENESEE & WYOMING INC STREET 2: 66 FIELD POINT ROAD CITY: GREENWICH STATE: CT ZIP: 06830 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 doc4.xml FORM 4 SUBMISSION X0306 4 2019-02-28 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 2019-02-28 4 F 0 258 82.00 D 62202 D Class A Common Stock, $.01 par value 2019-02-28 4 F 0 283 82.00 D 61919 D Class A Common Stock, $.01 par value 2019-02-28 4 A 0 5104 82.00 A 67023 D Class A Common Stock, $.01 par value 2019-02-28 4 A 0 382 82.00 A 67405 D Class A Common Stock, $.01 par value 2019-02-28 4 A 0 546 82.00 A 67951 D These shares were surrendered to Genesee & Wyoming Inc. (the "Company") for the payment of taxes in connection with the vesting of previously granted restricted stock awards. All shares are held in a joint account with spouse. This restricted stock award was granted under the Company's Fourth Amended and Restated 2004 Omnibus Incentive Plan (the "Plan") and will vest in three equal annual installments, beginning February 28, 2020. Represents the number of underlying shares of Class A Common Stock of the Company earned in accordance with the Company's attainment of pre-determined financial performance targets established under its GVA methodology on the previously granted 2017 performance-based restricted stock unit award. The aforementioned award was also subject to time-based vesting, and partially vested on February 28, 2019. Represents the number of underlying shares of Class A Common Stock of the Company earned in accordance with the Company's attainment of pre-determined financial performance targets established under its GVA methodology on the previously granted 2018 performance-based restricted stock unit award. The aforementioned award was also subject to time-based vesting, and partially vested on February 28, 2019. Allison M. Fergus 2019-03-04