0001209191-19-057784.txt : 20191122 0001209191-19-057784.hdr.sgml : 20191122 20191122162326 ACCESSION NUMBER: 0001209191-19-057784 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191121 FILED AS OF DATE: 20191122 DATE AS OF CHANGE: 20191122 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: 191241919 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 2019-11-21 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 2019-11-21 4 M 0 23234 98.59 A 444892 D Class A Common Stock, $.01 par value 2019-11-21 4 S 0 21888 111.38 D 423004 D Class A Common Stock, $.01 par value 55555 I By Trust Stock Option (Right to Buy) 98.59 2019-11-21 4 M 0 23234 0.00 D 2019-11-27 Class A Common Stock, $.01 par value 23234 0 D Class B Common Stock, $.01 par value Class A Common Stock, $.01 par value 1872 D The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 10, 2018. Represents the weighted average sales price for the price increments ranging from $111.30 to $111.48. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all transactions reported on this Form 4. Held by a trust of which Mr. Hellmann is investment trustee for the benefit of family members of Mr. Hellmann. This option award was granted under the Genesee & Wyoming Inc. Fourth Amended and Restated 2004 Omnibus Incentive Plan and vested in three equal annual installments, beginning February 28, 2015. 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 2019-11-22