0001181431-12-060873.txt : 20121128
0001181431-12-060873.hdr.sgml : 20121128
20121128170150
ACCESSION NUMBER: 0001181431-12-060873
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121126
FILED AS OF DATE: 20121128
DATE AS OF CHANGE: 20121128
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: 121229626
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
rrd361474.xml
NOVEMBER 2012
X0306
4
2012-11-26
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
2012-11-26
4
M
0
22
42.99
A
17266
D
Class A Common Stock, $0.01 par value
2012-11-26
4
M
0
583
31.82
A
17849
D
Class A Common Stock, $0.01 par value
2012-11-26
4
M
0
5069
31.38
A
22918
D
Class A Common Stock, $0.01 par value
2012-11-26
4
S
0
5674
73.26
D
17244
D
Class A Common Stock, $0.01 par value
2012-11-27
4
M
0
36
42.99
A
17280
D
Class A Common Stock, $0.01 par value
2012-11-27
4
M
0
30075
39.08
A
47355
D
Class A Common Stock, $0.01 par value
2012-11-27
4
M
0
3980
22.98
A
51335
D
Class A Common Stock, $0.01 par value
2012-11-27
4
M
0
3978
20.89
A
55313
D
Class A Common Stock, $0.01 par value
2012-11-27
4
M
0
4949
28.92
A
60262
D
Class A Common Stock, $0.01 par value
2012-11-27
4
M
0
5182
31.12
A
65444
D
Class A Common Stock, $0.01 par value
2012-11-27
4
S
0
17124
72.63
D
48320
D
Class A Common Stock, $0.01 par value
2012-11-27
4
S
0
30576
73.25
D
17744
D
Class A Common Stock, $0.01 par value
2012-11-27
4
S
0
500
74.31
D
17244
D
Class A Common Stock, $0.01 par value
2012-11-28
4
M
0
2500
42.99
A
19744
D
Class A Common Stock, $0.01 par value
2012-11-28
4
S
0
2500
72.20
D
17244
D
Class A Common Stock, $0.01 par value
5955.5
I
By wife
Class B Common Stock, $0.01 par value
1124863
D
Class B Common Stock, $0.01 par value
5748
I
By wife
Class B Common Stock, $0.01 par value
98675
I
By Grantor Retained Annuity Trust
Stock Option (Right to Buy)
42.99
2012-11-26
4
M
0
22
0
D
2013-05-26
Class A Common Stock, $0.01 par value
22
2536
D
Stock Option (Right to Buy)
31.82
2012-11-26
4
M
0
583
0
D
2014-05-28
Class A Common Stock, $0.01 par value
583
0
D
Stock Option (Right to Buy)
31.38
2012-11-26
4
M
0
5069
0
D
2014-08-30
Class A Common Stock, $0.01 par value
5069
0
D
Stock Option (Right to Buy)
42.99
2012-11-27
4
M
0
36
0
D
2013-05-26
Class A Common Stock, $0.01 par value
36
2500
D
Stock Option (Right to Buy)
39.08
2012-11-27
4
M
0
30075
0
D
2013-05-26
Class A Common Stock, $0.01 par value
30075
0
D
Stock Option (Right to Buy)
22.98
2012-11-27
4
M
0
3980
0
D
2014-02-26
Class A Common Stock, $0.01 par value
3980
0
D
Stock Option (Right to Buy)
20.89
2012-11-27
4
M
0
3978
0
D
2014-02-26
Class A Common Stock, $0.01 par value
3978
0
D
Stock Option (Right to Buy
28.92
2012-11-27
4
M
0
4949
0
D
2014-05-28
Class A Common Stock, $0.01 par value
4949
0
D
Stock Option (Right to Buy
31.12
2012-11-27
4
M
0
5182
0
D
2014-11-29
Class A Common Stock, $0.01 par value
5182
0
D
Stock Option (Right to Buy
42.99
2012-11-28
4
M
0
2500
0
D
2013-05-26
Class A Common Stock, $0.01 par value
2500
0
D
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.
Represents the weighted average sales price for the price increments ranging from $73.08 to $73.48.
Represents the weighted average sales price for the price increments ranging from $71.97 to $72.96.
Represents the weighted average sales price for the price increments ranging from $72.97 to $73.95.
Represents the weighted average sales price for the price increments ranging from $74.01 to $74.50.
Represents the weighted average sales price for the price increments ranging from $71.74 to $72.60.
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 held in a Grantor Retained Annuity Trust, of which Mr. Fuller is the trustee.
This option award was granted under the Genesee & Wyoming Inc. Second Amended and Restated 2004 Omnibus Incentive Plan and vested on May 27, 2011.
This option award was granted under the Genesee & Wyoming Inc. Second Amended and Restated 2004 Omnibus Incentive Plan and vested on February 27, 2012.
This option award was granted under the Genesee & Wyoming Inc. Second Amended and Restated 2004 Omnibus Incentive Plan and vested in three equal installments beginning February 27, 2010.
This option award was granted under the Genesee & Wyoming Inc. Second Amended and Restated 2004 Omnibus Incentive Plan and vested on May 27, 2011.
This option award was granted under the Genesee & Wyoming Inc. Second Amended and Restated 2004 Omnibus Incentive Plan and vested in three equal installments beginning May 27, 2009.
This option award was granted under the Genesee & Wyoming Inc. Second Amended and Restated 2004 Omnibus Incentive Plan and vested in two installments beginning February 27, 2011.
This option award was granted under the Genesee & Wyoming Inc. Second Amended and Restated 2004 Omnibus Incentive Plan and vested in two installments beginning February 27, 2010.
This option award was granted under the Genesee & Wyoming Inc. Second Amended and Restated 2004 Omnibus Incentive Plan and vested in three equal installments beginning February 27, 2010.
This option award was granted under the Genesee & Wyoming Inc. Second Amended and Restated 2004 Omnibus Incentive Plan and vested in three equal installments beginning February 27, 2010.
This option award was granted under the Genesee & Wyoming Inc. Second Amended and Restated 2004 Omnibus Incentive Plan and vested on May 27, 2011.
Allison M. Fergus, Attorney-in-Fact for Mortimer B. Fuller III
2012-11-28