0001181431-12-016829.txt : 20120313
0001181431-12-016829.hdr.sgml : 20120313
20120313161608
ACCESSION NUMBER: 0001181431-12-016829
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120309
FILED AS OF DATE: 20120313
DATE AS OF CHANGE: 20120313
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: FULLER MORTIMER B III
CENTRAL INDEX KEY: 0001032793
STATE OF INCORPORATION: CT
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-31456
FILM NUMBER: 12687317
MAIL ADDRESS:
STREET 1: 66 FIELD POINT ROAD
CITY: GREENWICH
STATE: CT
ZIP: 06830
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: 66 FIELD POINT ROAD
CITY: GREENWICH
STATE: CT
ZIP: 06830
BUSINESS PHONE: 2036293722
MAIL ADDRESS:
STREET 1: 66 FIELD POINT ROAD
CITY: GREENWICH
STATE: CT
ZIP: 06830
4
1
rrd338261.xml
MARCH CONVERSION OF SHARES
X0304
4
2012-03-09
0
0001012620
GENESEE & WYOMING INC
GWR
0001032793
FULLER MORTIMER B III
66 FIELD POINT ROAD
GREENWICH
CT
06830
1
0
0
0
Class A Common Stock, $0.01 par value
2012-03-09
4
C
0
33698
A
33698
I
By Grantor Retained Annuity Trust
Class A Common Stock, $0.01 par value
2012-03-09
5
G
0
33698
0
D
0
I
By Grantor Retained Annuity Trust
Class B Common Stock, $0.01 par value
2012-03-09
5
G
0
101094
0
D
0
I
By Grantor Retained Annuity Trust
Class A Common Stock, $0.01 par value
5955.5
I
By wife
Class B Common Stock, $0.01 par value
1288518
D
Class B Common Stock, $0.01 par value
5748
I
By wife
Class B Common Stock, $0.01 par value
154930
I
By Grantor Retained Annuity Trust
Class B Common Stock, $.01 par value
2012-03-09
4
C
0
33698
0
D
Class A Common Stock, $.01 par value
33698
214172
I
By Grantor Retained Annuity Trust
These shares were received upon conversion of Class B Common Stock held by a Grantor Retained Annuity Trust ("GRAT") upon the expiration of the GRAT term. Each share of Class B Common Stock is convertible into one share of Class A Common Stock.
These shares were previously reported as held in the GRAT, of which Mr. Fuller was the trustee. Mr. Fuller's term as trustee of the GRAT expired upon the expiration of the GRAT term. Accordingly, Mr. Fuller no longer has an indirect beneficial ownership interest in the securities held by the GRAT.
Reflects a transfer of 33,698 shares of Class A Common Stock by the GRAT to a trust for the benefit of one of the beneficiaries of the GRAT upon the expiration of the GRAT term.
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.
Reflects a transfer of 101,094 shares of Class B Common Stock by the GRAT to three separate trusts for the benefit of three of the beneficiaries of the GRAT upon the expiration of the GRAT term. Also reflects a transfer of 113,078 shares of Class B Common Stock by the GRAT to the direct holdings of Mr. Fuller upon expiration of the GRAT term.
These shares are held by Mr. Fuller's wife. Mr. Fuller disclaims beneficial ownership of these shares.
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. These shares are indirectly beneficially owned by a second Grantor Retained Annuity Trust, of which Mr. Fuller is the trustee.
Allison M. Fergus, Attorney-in-Fact for Mortimer B. Fuller III
2012-03-13