-----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, KRalBDTmr9gI2RpeRjJOijuMLW0vPgJ4Mmuylqls0fovz8oB3Rw6j7J8nlv4xBgs rDROcs0Pj2QYZ+eBiCogiA== 0000950130-98-002118.txt : 19980428 0000950130-98-002118.hdr.sgml : 19980428 ACCESSION NUMBER: 0000950130-98-002118 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980427 SROS: NONE 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: 98601550 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: FULLER MORTIMER B III CENTRAL INDEX KEY: 0001032793 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: CT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 71 LEWIS STREET CITY: GREENWICH STATE: CT ZIP: 06830 MAIL ADDRESS: STREET 1: 71 LEWIS STREET CITY: GREENWICH STATE: CT ZIP: 06830 SC 13G/A 1 SCHEDULE 13G/A CUSIP No. 371559 10 5 (Page 1 of 10 Pages) SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 _________ Schedule 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b) AND (c) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b) (Amendment No. 2) Genesee & Wyoming Inc. - ------------------------------------------------------------------------------- (Name of Issuer) Class A Common Stock, $.01 par value - ------------------------------------------------------------------------------- (Title of Class of Securities) 371559 10 5 - ------------------------------------------------------------------------------- (CUSIP Number) ------ CUSIP No. 371559 10 5 (Page 2 of 10 Pages) 13G =============================================================================== 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Mortimer B. Fuller, III (individually, as Trustee or Co-Trustee and as sole General Partner) Frances A. Fuller (as Co-Trustee) Overlook Estate Foundation, Inc. (See Item 2(a) for description of such Trustee, Co-Trustee and sole General Partner capacities) - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Mortimer B. Fuller, III and Frances A. Fuller are United States citizens; Overlook Estate Foundation, Inc. is a Delaware not-for-profit membership corporation. - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER: Mortimer B. Fuller, III - 876,321 Number of Frances A. Fuller - 0 Shares Overlook Estate Foundation, Inc. - 21,498 Beneficially Owned by Each Report ing Person with ---------------------------------------------------------------- 6 SHARED VOTING POWER: Mortimer B. Fuller, III - 0 Frances A. Fuller - 0 Overlook Estate Foundation, Inc. - 0 ---------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER: Mortimer B. Fuller, III - 499,107 Frances A. Fuller - 0 Overlook Estate Foundation, Inc. - 21,498 ---------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER: Mortimer B. Fuller, III - 377,214 Frances A. Fuller - 377,214 Overlook Estate Foundation, Inc. - 0 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 897,819 (See Item 4 for disclaimer of beneficial ownership) - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] CUSIP No. 371559 10 5 (Page 3 of 10 Pages) - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 17.0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* 00 (a Group) ================================================================================ *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 371559 10 5 (Page 4 of 10 Pages) Item 1(a). Name of Issuer: Genesee & Wyoming Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 71 Lewis Street Greenwich, Connecticut 06830 Item 2(a). Names of Persons Filing: Mortimer B. Fuller, III Mortimer B. Fuller, III and Frances A. Fuller, as Co-Trustees of the Residuary Trust u/w of Mortimer B. Fuller, Jr. Mortimer B. Fuller, III, as Trustee of the Frances A. Fuller Family Trust Mortimer B. Fuller, III, as sole General Partner of Fuller/Overlook Limited Partnership Overlook Estate Foundation, Inc., a Delaware not-for-profit membership corporation (Mortimer B. Fuller, III, President) Item 2(b). Address of Principal Business Office, or, if None, Residence: For all members of group: c/o Genesee & Wyoming Inc. 71 Lewis Street Greenwich, Connecticut 06830 Item 2(c). Citizenship: Mortimer B. Fuller, III and Frances A. Fuller are United States citizens; Overlook Estate Foundation, Inc. is a Delaware not-for-profit membership corporation. Item 2(d). Title of Class of Securities: Class A Common Stock Item 2(e) CUSIP Number: 371559 10 5 CUSIP No. 371559 10 5 (Page 5 of 10 Pages) Item 3. Statements Filed Pursuant to Rules 13d-1(b) or 13d-2(b): Not Applicable Item 4 Ownership. (a) Amount Beneficially Owned: 897,819 shares (see Exhibit 1) (b) Percent of Class: 17.0% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: Mortimer B. Fuller, III(individually, as Trustee or Co-Trustee and as sole General Partner) - 876,321 Frances A. Fuller (in any capacity) - 0 Overlook Estate Foundation, Inc. - 21,498 (ii) shared power to vote or to direct the vote: Mortimer B. Fuller, III (in any capacity) - 0 Frances A. Fuller (in any capacity) - 0 Overlook Estate Foundation, Inc. - 0 (iii) sole power to dispose or to direct the disposition of: Mortimer B. Fuller, III (individually, as Trustee and as sole General Partner) - 499,107 Frances A. Fuller (in any capacity) - 0 Overlook Estate Foundation, Inc. - 21,498 (iv) shared power to dispose or to direct the disposition of: Mortimer B. Fuller, III (as Co-Trustee) - 377,214 Frances A. Fuller (as Co-Trustee) - 377,214 Overlook Estate Foundation, Inc. - 0 Pursuant to Rule 13d-4, each member of the group expressly declares that the filing of this Schedule 13G shall not be construed as an admission that such member is, for purposes of Section 13(d) or 13(g) of the Securities Exchange Act of 1934, the beneficial owner of shares owned by the other members of the group, except for shares as to which members of the group are Co-Trustees. CUSIP No. 371559 10 5 (Page 6 of 10 Pages) Item 5. Ownership of Five Percent or Less of a Class. Not Applicable Item 6. Ownership of More than Five Percent on Behalf of Another Person. Not Applicable Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. Not Applicable Item 8. Identification and Classification of Members of the Group. See Exhibit 1 Item 9. Notice of Dissolution of Group. Not Applicable Item 10. Certification. Not Applicable CUSIP No. 371559 10 5 (Page 7 of 10 Pages) SIGNATURE 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. Dated: March 28, 1998 /s/ Mortimer B. Fuller, III -------------------------------------------------- Mortimer B. Fuller, III Dated: March 28, 1998 /s/ Mortimer B. Fuller, III -------------------------------------------------- Mortimer B. Fuller, III, as Co-Trustee of the Residuary Trust u/w of Mortimer B. Fuller, Jr. Dated: March 28, 1998 * Frances A. Fuller, Co-Trustee -------------------------------------------------- Frances A. Fuller, as Co-Trustee of the Residuary Trust u/w of Mortimer B. Fuller, Jr. Dated: March 28, 1998 /s/ Mortimer B. Fuller, III -------------------------------------------------- Mortimer B. Fuller, III, as Trustee of the Frances A. Fuller Family Trust Fuller/Overlook Limited Partnership Dated: March 28, 1998 By: /s/ Mortimer B. Fuller, III -------------------------------------------------- Mortimer B. Fuller, III, Sole General Partner Overlook Estate Foundation, Inc. Dated: March 28, 1998 By: /s/ Mortimer B. Fuller, III -------------------------------------------------- Mortimer B. Fuller, III, President Dated: March 28, 1998 *By: /s/ Mortimer B. Fuller, III -------------------------------------------------- Mortimer B. Fuller, III, Attorney-in-Fact *Power of Attorney previously filed and incorporated herein by reference to Exhibit 3 to Schedule 13G filed February 12, 1997. CUSIP No. 371559 10 5 (Page 8 of 10 Pages) Exhibit 1 This Schedule 13G is being filed by a group pursuant to Rule 13d-5(b)(1). The members of the group are as follows: Mortimer B. Fuller, III; Mortimer B. Fuller, III and Frances A. Fuller, as Co-Trustees of the Residuary Trust u/w of Mortimer B. Fuller, Jr.; Mortimer B. Fuller, III, as Trustee of the Frances A. Fuller Family Trust; Mortimer B. Fuller, III, as sole General Partner of Fuller/Overlook Limited Partnership; and Overlook Estate Foundation, Inc. (Mortimer B. Fuller, III, President). Mortimer B. Fuller, III and Frances A. Fuller, as Co-Trustees of the Residuary Trust u/w of Mortimer B. Fuller, Jr. are parties to a Voting Agreement and Stock Purchase Option dated March 21, 1980, as amended as of March 29, 1996 (the "Voting Agreement"), pursuant to which Mortimer B. Fuller, III has been granted an irrevocable proxy to vote all shares of the Issuer owned by the such members of the group. The Voting Agreement terminates by its terms, and the group may dissolve, upon (i) the incompetency, disability or death of Mortimer B. Fuller, III, (ii) the written agreement of all of the parties to the Voting Agreement, or (iii)expiration of the term of the Voting Agreement on March 20, 2008 and the failure of the parties to renew it for an additional term. The shares of the Issuer's Class A Common Stock reported in this Schedule 13G consist of: (a) shares of Class A Common Stock directly owned by the members of the group in the various capacities indicated (including shares issuable under presently exercisable options held by Mortimer B. Fuller, III) (see table below); and (b) shares of the Issuer's Class B Common Stock, par value $.01 per share, directly owned by such members in the various capacities indicated. The Issuer's Class B Common Stock, which is not registered pursuant to Section 12 of the Securities Exchange Act of 1934, as amended, has ten votes per share (as compared with the a Common Stock, which has one vote per share), and is freely convertible into an equal number of shares of Class A Common Stock. The beneficial ownership of the Issuer's Class A Common Stock and Class B Common Stock by each member of the group as of December 31, 1997 is as follows: CUSIP No. 371559 10 5 (Page 9 of 10 Pages) =============================================================================== Class A Com- Class B Com- mon Stock mon Stock Directly Directly Member of Group Owned Owned TOTAL - -------------------------------------------------------------------------------- Mortimer B. Fuller, III, individually *49,981 276,093 326,074 - -------------------------------------------------------------------------------- Mortimer B. Fuller, III and Frances A. 78,607 298,607 377,214 Fuller, as Co-Trustees of the Residuary Trust u/w of Mortimer B. Fuller, Jr. - -------------------------------------------------------------------------------- Mortimer B. Fuller, III, as Trustee of 31,450 0 31,450 the Frances A. Fuller Family Trust - ------------------------------------------------------------------------------- Mortimer B. Fuller, III, as sole General Partner of Fuller/Overlook Limited Partnership 58,000 83,583 141,583 - -------------------------------------------------------------------------------- Overlook Estate Foundation, Inc. 21,498 0 21,498 (Mortimer B. Fuller, III, President) - -------------------------------------------------------------------------------- TOTAL 239,536 658,283 897,819 =============================================================================== * Includes 22,500 shares issuable under presently exercisable options. CUSIP No. 371559 10 5 (Page 10 of 10 Pages) Exhibit 2 AGREEMENT The undersigned agree that this Schedule 13G under the Securities Exchange Act of 1934, as amended, relating to shares of the Class A Common Stock of Genesee & Wyoming Inc., to which this Agreement is an Exhibit and which is to be filed with the Securities and Exchange Commission, is filed on behalf of each of the undersigned. Dated: March 28, 1998 /s/ Mortimer B. Fuller, III ----------------------------------------------------- Mortimer B. Fuller, III Dated: March 28, 1998 /s/ Mortimer B. Fuller, III ----------------------------------------------------- Mortimer B. Fuller, III, as Co-Trustee of the Residuary Trust u/w of Mortimer B. Fuller, Jr. Dated: March 28, 1998 * Frances A. Fuller, Co-Trustee ----------------------------------------------------- Frances A. Fuller, as Co-Trustee of the Residuary Trust u/w of Mortimer B. Fuller, Jr. Dated: March 28, 1998 /s/ Mortimer B. Fuller, III ----------------------------------------------------- Mortimer B. Fuller, III, as Trustee of the Frances A. Fuller Family Trust Fuller/Overlook Limited Partnership Dated: March 28, 1998 By: /s/ Mortimer B. Fuller, III -------------------------------------------------- Mortimer B. Fuller, III, Sole General Partner Overlook Estate Foundation, Inc. Dated: March 28, 1998 By: /s/ Mortimer B. Fuller, III -------------------------------------------------- Mortimer B. Fuller, III, President Dated: March 28, 1998 *By: /s/ Mortimer B. Fuller, III -------------------------------------------------- Mortimer B. Fuller, III, Attorney-in-Fact *Power of Attorney previously filed and incorporated herein by reference to Exhibit 3 to Schedule 13G filed February 12, 1997. -----END PRIVACY-ENHANCED MESSAGE-----