0001209191-19-021792.txt : 20190329
0001209191-19-021792.hdr.sgml : 20190329
20190329165625
ACCESSION NUMBER: 0001209191-19-021792
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190131
FILED AS OF DATE: 20190329
DATE AS OF CHANGE: 20190329
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HELLMANN JOHN C
CENTRAL INDEX KEY: 0001241524
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-31456
FILM NUMBER: 19717223
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/A
1
doc4a.xml
FORM 4/A SUBMISSION
X0306
4/A
2019-01-31
2019-03-04
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
2019-01-31
4
A
0
12966
0.00
A
423440
D
Class A Common Stock, $.01 par value
2019-02-28
4
F
0
1217
82.00
D
422223
D
Class A Common Stock, $.01 par value
2019-02-28
4
F
0
1902
82.00
D
420321
D
Class A Common Stock, $.01 par value
55555
I
By Trust
The Form 4 originally filed on March 4, 2019 (the "Original Form 4") is being amended to correct the last line of such report, which reflects the number of shares of common stock determined to have been earned on January 31, 2019, on the previously granted 2018 performance-based restricted stock unit award based upon Genesee & Wyoming Inc.'s attainment of pre-determined financial performance targets established under its GVA methodology as well as correcting the number of shares beneficially owned following the foregoing transaction. Following the certification of the achievement of performance criteria, the 2018 performance-based restricted stock unit award is subject to time-based vesting, and vests in three equal annual installments, beginning February 28, 2019.
The Original Form 4 is also being amended to report the number of shares surrendered to Genesee & Wyoming Inc. (the "Company") for the payment of taxes in connection with the partial vesting of previously granted 2017 performance-based restricted stock unit awards, as well as correcting the number of shares beneficially owned following the transaction. The 2017 performance-based restricted stock unit award was earned on February 1, 2018 and is now being reported on a separate Form 4 amendment filed on the date hereof and is no longer reflected on this form.
The Original Form 4 is also being amended to report the number of shares surrendered to the Company for the payment of taxes in connection with the partial vesting of the previously granted 2018 performance-based restricted stock unit awards.
Held by a trust of which Mr. Hellmann is investment trustee for the benefit of family members of Mr. Hellmann.
Allison M. Fergus, Attorney in fact for John C. Hellmann
2019-03-29