FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 05/02/2005 |
3. Issuer Name and Ticker or Trading Symbol
GENESEE & WYOMING INC [ GWR ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) 05/12/2005 |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Class A Common Stock, $.01 par value | 33,418(1) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right to Buy) | (2) | 04/05/2006 | Class A Common Stock, $.01 par value | 3,165 | $7.0555 | D | |
Employee Stock Option (Right to Buy) | (3) | 05/22/2007 | Class A Common Stock, $.01 par value | 12,000 | $14.2333 | D | |
Employee Stock Option (Right to Buy) | (4) | 07/30/2008 | Class A Common Stock, $.01 par value | 1,947 | $14.94 | D | |
Employee Stock Option (Right to Buy) | (5) | 07/30/2008 | Class A Common Stock, $.01 par value | 10,053 | $14.94 | D | |
Employee Stock Option (Right to Buy) | (6) | 05/11/2009 | Class A Common Stock, $.01 par value | 8,365 | $23.45 | D | |
Employee Stock Option (Right to Buy) | (7) | 05/11/2009 | Class A Common Stock, $.01 par value | 2,885 | $23.45 | D | |
Employee Stock Option (Right to Buy) | (8) | 04/05/2006 | Class A Common Stock, $.01 par value | 1,266 | $7.0555 | I | By Spouse |
Employee Stock Option (Right to Buy) | (9) | 05/22/2007 | Class A Common Stock, $.01 par value | 3,000 | $14.2333 | I | By Spouse |
Employee Stock Option (Right to Buy) | (10) | 07/30/2008 | Class A Common Stock, $.01 par value | 1,650 | $14.94 | I | By Spouse |
Employee Stock Option (Right to Buy) | (11) | 05/11/2009 | Class A Common Stock, $.01 par value | 1,000 | $23.45 | I | By Spouse |
Explanation of Responses: |
1. Includes 1,080 additional shares omitted from the Form 3 filed May 12, 2005 and from each subsequent Form 4 filed by the reporting person. Includes 1,030 shares of restricted stock granted under the Genesee & Wyoming Inc. 2004 Omnibus Incentive Plan ("Restricted Shares"). The Restricted Shares will vest in two installments of 515 on May 11, 2006 and May 11, 2007. |
2. This option is fully exercisable. |
3. This option is exercisable currently as to 6,000 of such shares, and will become exercisable as to 3,000 shares on May 23, 2005 and as to 3,000 shares on May 23, 2006. |
4. This option is exercisable currently as to 1,287 of such shares and will become exercisable as to 660 shares on July 31, 2005. |
5. This option is exercisable currently as to 1,713 of such shares, and will become exercisable as to 2,340 shares on July 31, 2005, as to 3,000 shares on July 31, 2006 and as to 3,000 shares on July 31, 2007. |
6. This option will become exercisable as to 3,750 of such shares on May 12, 2005, as to 3,218 shares on May 12, 2006 and as to 1,397 shares on May 12, 2007. |
7. This option will become exercisable as to 532 of such shares on May 12, 2006 and as to 2,353 shares on May 12, 2007. |
8. This option is fully exercisable. |
9. This option is exercisable currently as to 1,500 of such shares, and will become exercisable as to 750 shares on May 23, 2005 and as to 750 shares on May 23, 2006. |
10. This option is exercisable currently as to 412 of such shares, and will become exercisable as to 413 shares on July 31, 2005, as to 412 shares on July 31, 2006 and as to 413 shares on July 31, 2007. |
11. This option will become exercisable as to 334 of such shares on May 12, 2005, as to 333 shares on May 12, 2006 and as to 333 shares on May 12, 2007. |
Remarks: |
Adam B. Frankel, Attorney In Fact for James W. Benz | 02/27/2006 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |