0001209191-19-015777.txt : 20190304 0001209191-19-015777.hdr.sgml : 20190304 20190304172418 ACCESSION NUMBER: 0001209191-19-015777 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: Liucci Christopher F CENTRAL INDEX KEY: 0001357720 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31456 FILM NUMBER: 19655193 MAIL ADDRESS: STREET 1: C/O GENESEE & WYOMING 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 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 2019-02-28 4 F 0 87 82.00 D 17423 D Class A Common Stock, $.01 par value 2019-02-28 4 F 0 95 82.00 D 17328 D Class A Common Stock, $.01 par value 2019-02-28 4 A 0 1567 82.00 A 18895 D Class A Common Stock, $.01 par value 2019-02-28 4 A 0 143 82.00 A 19038 D Class A Common Stock, $.01 par value 2019-02-28 4 A 0 205 82.00 A 19243 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. 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 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. /s/ Allison M. Fergus, Attorney-in-Fact for Christopher F. Liucci 2019-03-04