Statement of Changes in Beneficial Ownership (4)
23 11월 2019 - 6:24AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
HELLMANN JOHN C |
2. Issuer Name and Ticker or Trading Symbol
GENESEE & WYOMING INC
[
GWR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Exec. Officer & Pres. |
(Last)
(First)
(Middle)
C/O GENESEE & WYOMING INC., 20 WEST AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/21/2019 |
(Street)
DARIEN, CT 06820
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common Stock, $.01 par value | 11/21/2019 | | M | | 23234 | A | $98.59 | 444892 | D | |
Class A Common Stock, $.01 par value | 11/21/2019 | | S(1) | | 21888 | D | $111.38 (2)(3) | 423004 | D | |
Class A Common Stock, $.01 par value | | | | | | | | 55555 | I | By Trust (4) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | $98.59 | 11/21/2019 | | M | | | 23234 | (5) | 11/27/2019 | Class A Common Stock, $.01 par value | 23234 | $0.00 | 0 | D | |
Class B Common Stock, $.01 par value | (6) | | | | | | | (6) | (6) | Class A Common Stock, $.01 par value | (6) | | 1872 (6) | D | |
Explanation of Responses: |
(1) | 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. |
(2) | Represents the weighted average sales price for the price increments ranging from $111.30 to $111.48. |
(3) | 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. |
(4) | Held by a trust of which Mr. Hellmann is investment trustee for the benefit of family members of Mr. Hellmann. |
(5) | 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. |
(6) | 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. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
HELLMANN JOHN C C/O GENESEE & WYOMING INC. 20 WEST AVENUE DARIEN, CT 06820 | X |
| Chief Exec. Officer & Pres. |
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Signatures
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Allison M. Fergus, Attorney-in-Fact for John C. Hellmann | | 11/22/2019 |
**Signature of Reporting Person | Date |
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