-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, NbxpXVqAHAtch1pCv1FUyix/w3PV9B1ojWLWHT2H8mRULTRBEiAk75s/hQ7ewVkS /7xJ93VT3ER2w/OoMY9Lkg== 0000068100-97-000616.txt : 19970912 0000068100-97-000616.hdr.sgml : 19970912 ACCESSION NUMBER: 0000068100-97-000616 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970910 SROS: NYSE SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-48165 FILM NUMBER: 97677714 BUSINESS ADDRESS: STREET 1: 71 LEWIS ST CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2036293722 MAIL ADDRESS: STREET 1: 71 LEWIS STREET STREET 2: 71 LEWIS STREET CITY: GREENWICH STATE: CT ZIP: 06830 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MORGAN J P & CO INC CENTRAL INDEX KEY: 0000068100 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 132625764 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 60 WALL ST CITY: NEW YORK STATE: NY ZIP: 10260 BUSINESS PHONE: 2124832323 MAIL ADDRESS: STREET 1: P O BOX 271 STREET 2: C/O WILLIAM D HALL CITY: WILMINGTON STATE: DE ZIP: 19899 SC 13G/A 1 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 AMENDMENT NO. 2)* NAME OF ISSUER: Genesee & Wyoming, Inc. Class "A" TITLE OF CLASS OF SECURITIES: Genesee & Wyoming, Inc. Class "A" UNLESS OTHERWISE NOTED, THE SECURITY BEING REPORTED IS A COMMON STOCK CUSIP NO: 371559 10 5 FEE BEING PAID: No (1) NAMES OF REPORTING PERSONS: J. P. MORGAN & CO., INCORPORATED S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS: 13-2625764 (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) (B) (3) SEC USE ONLY (4) CITIZENSHIP OR PLACE OF ORGANIZATION: UNITED STATES NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: (5) SOLE POWER TO VOTE: 589,700 SHARES (6) SHARED POWER TO VOTE: 0 SHARES (7) SOLE POWER TO DISPOSE: 694,700 SHARES (8) SHARED POWER TO DISPOSE: 0 SHARES (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 694,700 SHARES (10) CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES: (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): 15.785 % (12) TYPE OF REPORTING PERSON: HC SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 AMENDMENT NO: 2 DATE: August 31, 1997 FEE BEING PAID: No ITEM 1 (a) NAME OF ISSUER: Genesee & Wyoming, Inc. Class "A" ITEM 1 (b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 71 Lewis Street Greenwich, Connecticut 06830 ITEM 2 (a) NAME OF PERSON FILING: J. P. MORGAN & CO., INCORPORATED ITEM 2 (b) ADDRESS OF PRINCIPAL BUSINESS OFFICE: 60 WALL STREET NEW YORK, N. Y. 10260 ITEM 2 (c) CITIZENSHIP UNITED STATES ITEM 2 (d) TITLE OF CLASS OF SECURITIES: Genesee & Wyoming, Inc. Class "A" UNLESS OTHERWISE NOTED, THE SECURITY BEING REPORTED IS A COMMON STOCK ITEM 2 (e) CUSIP NO: 371559 10 5 ITEM 3 TYPE OF PERSON: (g) PARENT HOLDING COMPANY ITEM 4 (a) AMOUNT BENEFICIALLY OWNED: 694,700 SHARES, INCLUDING 0 SHARES WHERE THERE IS A RIGHT TO ACQUIRE. ITEM 4 (b) PERCENT OF CLASS: 15.785 % ITEM 4 (c) (i) SOLE POWER TO VOTE: 589,700 SHARES (ii) SHARED POWER TO VOTE: 0 SHARES (iii) SOLE POWER TO DISPOSE: 694,700 SHARES (iv) SHARED POWER TO DISPOSE: 0 SHARES ITEM 5 OWNERSHIP OF 5 PERCENT OR LESS OF A CLASS: Not Applicable ITEM 6 OWNERSHIP OF MORE THAN 5 PERCENT ON BEHALF OF ANOTHER PERSON: VIRTUALLY ALL OF OUR ACCOUNTS INVOLVE OUTSIDE PERSONS WHO HAVE THE RIGHT TO RECEIVE OR DIRECT THE RECEIPT OF DIVIDENDS FROM, OR THE PROCEEDS FROM THE SALE OF, SECURITIES IN SUCH ACCOUNTS WITH RESPECT TO THE CLASS OF SECURITIES WHICH ARE THE SUBJECT OF THIS REPORT. HOWEVER, NO SUCH PERSON'S RIGHTS RELATE TO MORE THAN FIVE PERCENT OF THE CLASS, UNLESS SUCH PERSON IS IDENTIFIED BELOW. ITEM 7 IDENTIFICATION AND CLASSIFICATION OF SUBSIDIARIES: MORGAN GUARANTY TRUST COMPANY OF NEW YORK - 3(b) BANK J.P. MORGAN INVESTMENT MANAGEMENT INC. - 3(e) INVESTMENT ADVISOR J.P. MORGAN FLORIDA FEDERAL SAVINGS BANK - 3(e) INVESTMENT ADVISOR CERTAIN OF THE SECURITIES COVERED BY THIS REPORT MAY BE OWNED BY NON- QUALIFYING SUBSIDIARIES OF J.P. MORGAN & CO. INCORPORATED, BUT THE AMOUNT SO OWNED DOES NOT EXCEED ONE PERCENT OF THE TOTAL OUTSTANDING SECURITIES OF THE COMPANY AND IT IS NOT PRACTICAL TO OBTAIN ADDITIONAL INFORMATION CONCERNING SUCH SECURITIES. ITEM 8 IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: NOT APPLICABLE ITEM 9 NOTICE OF DISSOLUTION OF THE GROUP: NOT APPLICABLE ITEM 10 CERTIFICATION: BY SIGNING BELOW I CERTIFY THAT, TO THE BEST OF MY KNOWLEDGE AND BELIEF, THE SECURITIES REFERRED TO ABOVE WERE ACQUIRED IN THE ORDINARY COURSE OF BUSINESS AND WERE NOT ACQUIRED FOR THE PURPOSE OF AND DO NOT HAVE THE EFFECT OF CHANGING OR INFLUENCING THE CONTROL OF THE ISSUER OF SUCH SECURITIES AND WERE NOT ACQUIRED IN CONNECTION WITH OR AS A PARTICIPANT IN ANY TRANSACTION HAVING SUCH PURPOSE OR EFFECT. AFTER REASONABLE INQUIRY AND TO THE BEST OF MY KNOWLEDGE AND BELIEF, I CERTIFY THAT THE INFORMATION SET FORTH IN THIS STATEMENT IS TRUE, COMPLETE AND CORRECT. KATHLEEN H. TRIPP VICE PRESIDENT -----END PRIVACY-ENHANCED MESSAGE-----