0001181431-12-061138.txt : 20121129
0001181431-12-061138.hdr.sgml : 20121129
20121129174016
ACCESSION NUMBER: 0001181431-12-061138
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121127
FILED AS OF DATE: 20121129
DATE AS OF CHANGE: 20121129
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: 121232707
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
rrd361675.xml
NOVEMBER GRAT/GIFTS
X0306
4
2012-11-27
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, $.01 par value
2012-11-27
4
C
0
11073
A
11073
I
By Grantor Retained Annuity Trust
Class A Common Stock, $.01 par value
2012-11-27
5
G
0
11073
0
D
0
I
By Grantor Retained Annuity Trust
Class A Common Stock, $.01 par value
2012-11-28
4
C
0
3000
A
20244
D
Class A Common Stock, $.01 par value
2012-11-28
4
G
0
3000
0
D
17244
D
Class A Common Stock, $0.01 par value
5955.5
I
By wife
Class B Common Stock, $.01 par value
2012-11-27
4
C
0
11073
0
D
Class A Common Stock, $.01par value
11073
87602
I
By Grantor Retained Annuity Trust
Class B Common Stock, $.01 par value
2012-11-27
5
G
0
33219
0
D
Class A Common Stock, $.01 par value
33219
0
I
By Grantor Retained Annuity Trust
Class B Common Stock, $.01 par value
2012-11-27
5
G
0
4000
0
D
Class A Common Stock, $.01 par value
4000
1175246
D
Class B Common Stock, $.01 par value
2012-11-27
5
G
0
4000
0
D
Class A Common Stock, $.01 par value
4000
9748
I
By wife
Class B Common Stock, $.01 par value
2012-11-28
4
C
0
3000
0
D
Class A Common Stock, $.01 par value
3000
1172246
D
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 11,073 shares of Class A Common Stock by the GRAT to a trust for the benefit of one of the beneficiaries of the GRAT upon expiration of the GRAT term.
These shares were received upon conversion of Class B Common Stock held by Mr. Fuller. Each share of Class B Common Stock is convertible into one share of Class A Common Stock.
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.
Reflects a transfer of 33,219 shares of Class B Common Stock by the GRAT to three separate trusts for the benefit of three separate beneficiaries of the GRAT upon expiration of the GRAT term. Also reflects a transfer of 54,383 shares of Class B Common Stock by the GRAT to the direct holdings of Mr. Fuller upon expiration of the GRAT term.
Allison M. Fergus, Attorney-in-Fact for Mortimer B. Fuller III
2012-11-29