0001209191-13-012356.txt : 20130228
0001209191-13-012356.hdr.sgml : 20130228
20130228153819
ACCESSION NUMBER: 0001209191-13-012356
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130213
FILED AS OF DATE: 20130228
DATE AS OF CHANGE: 20130228
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TC Group Cayman Investment Holdings, L.P.
CENTRAL INDEX KEY: 0001475444
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-31456
FILM NUMBER: 13651649
BUSINESS ADDRESS:
STREET 1: C/O WALKERS CORPORATE SERVICES LIMITED
STREET 2: 190 ELGIN AVENUE
CITY: GEORGE TOWN, GRAND CAYMAN
STATE: E9
ZIP: KY1-9001
BUSINESS PHONE: (202) 729-5438
MAIL ADDRESS:
STREET 1: C/O WALKERS CORPORATE SERVICES LIMITED
STREET 2: 190 ELGIN AVENUE
CITY: GEORGE TOWN, GRAND CAYMAN
STATE: E9
ZIP: KY1-9001
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TC Group V, L.P.
CENTRAL INDEX KEY: 0001511175
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-31456
FILM NUMBER: 13651654
BUSINESS ADDRESS:
STREET 1: 1001 PENNSYLVANIA AVENUE, NW
CITY: WASHINGTON
STATE: DC
ZIP: 20004
BUSINESS PHONE: 202-729-5219
MAIL ADDRESS:
STREET 1: 1001 PENNSYLVANIA AVENUE, NW
CITY: WASHINGTON
STATE: DC
ZIP: 20004
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Carlyle Group L.P.
CENTRAL INDEX KEY: 0001527166
STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282]
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-31456
FILM NUMBER: 13651652
BUSINESS ADDRESS:
STREET 1: C/O THE CARLYLE GROUP
STREET 2: 1001 PENNSYLVANIA AVENUE, N.W.
CITY: WASHINGTON
STATE: DC
ZIP: 20004
BUSINESS PHONE: 202 729 5626
MAIL ADDRESS:
STREET 1: C/O THE CARLYLE GROUP
STREET 2: 1001 PENNSYLVANIA AVENUE, N.W.
CITY: WASHINGTON
STATE: DC
ZIP: 20004
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Carlyle Group Management L.L.C.
CENTRAL INDEX KEY: 0001548624
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1212
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-31456
FILM NUMBER: 13651653
BUSINESS ADDRESS:
STREET 1: C/O THE CARLYLE GROUP L.P.
STREET 2: 1001 PENNSYLVANIA AVENUE, NW
CITY: WASHINGTON
STATE: DC
ZIP: 20004-2505
BUSINESS PHONE: 202-729-5626
MAIL ADDRESS:
STREET 1: C/O THE CARLYLE GROUP L.P.
STREET 2: 1001 PENNSYLVANIA AVENUE, NW
CITY: WASHINGTON
STATE: DC
ZIP: 20004-2505
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Carlyle Holdings II GP L.L.C.
CENTRAL INDEX KEY: 0001548629
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1212
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-31456
FILM NUMBER: 13651651
BUSINESS ADDRESS:
STREET 1: C/O THE CARLYLE GROUP L.P.
STREET 2: 1001 PENNSYLVANIA AVENUE, NW
CITY: WASHINGTON
STATE: DC
ZIP: 20004-2505
BUSINESS PHONE: 202-729-5626
MAIL ADDRESS:
STREET 1: C/O THE CARLYLE GROUP L.P.
STREET 2: 1001 PENNSYLVANIA AVENUE, NW
CITY: WASHINGTON
STATE: DC
ZIP: 20004-2505
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Carlyle Holdings II L.P.
CENTRAL INDEX KEY: 0001548630
STATE OF INCORPORATION: A8
FISCAL YEAR END: 1212
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-31456
FILM NUMBER: 13651650
BUSINESS ADDRESS:
STREET 1: C/O THE CARLYLE GROUP L.P.
STREET 2: 1001 PENNSYLVANIA AVENUE, NW
CITY: WASHINGTON
STATE: DC
ZIP: 20004-2505
BUSINESS PHONE: 202-729-5626
MAIL ADDRESS:
STREET 1: C/O THE CARLYLE GROUP L.P.
STREET 2: 1001 PENNSYLVANIA AVENUE, NW
CITY: WASHINGTON
STATE: DC
ZIP: 20004-2505
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TC Group Cayman Investment Holdings Sub L.P.
CENTRAL INDEX KEY: 0001548636
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1212
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-31456
FILM NUMBER: 13651648
BUSINESS ADDRESS:
STREET 1: C/O WALKER CORPORATE SERVICES LIMITED
STREET 2: 190 ELGIN AVENUE
CITY: GEORGE TOWN, GRAND CAYMAN
STATE: E9
ZIP: KY1-9001
BUSINESS PHONE: 202-729-5438
MAIL ADDRESS:
STREET 1: C/O WALKER CORPORATE SERVICES LIMITED
STREET 2: 190 ELGIN AVENUE
CITY: GEORGE TOWN, GRAND CAYMAN
STATE: E9
ZIP: KY1-9001
4
1
c493708_4x0.xml
MAIN DOCUMENT DESCRIPTION
X0306
4
2013-02-13
0001012620
GENESEE & WYOMING INC
GWR
0001511175
TC Group V, L.P.
C/O THE CARLYLE GROUP
1001 PENNSYLVANIA AVE. NW, SUITE 220S
WASHINGTON
DC
20004
0
0
1
0
0001548624
Carlyle Group Management L.L.C.
C/O THE CARLYLE GROUP
1001 PENNSYLVANIA AVE. NW, SUITE 220S
WASHINGTON
DC
20004
0
0
1
0
0001527166
Carlyle Group L.P.
C/O THE CARLYLE GROUP
1001 PENNSYLVANIA AVE. NW, SUITE 220S
WASHINGTON
DC
20004
0
0
1
0
0001548629
Carlyle Holdings II GP L.L.C.
C/O THE CARLYLE GROUP
1001 PENNSYLVANIA AVE. NW, SUITE 220S
WASHINGTON
DC
20004
0
0
1
0
0001548630
Carlyle Holdings II L.P.
C/O THE CARLYLE GROUP
1001 PENNSYLVANIA AVE. NW, SUITE 220S
WASHINGTON
DC
20004
0
0
1
0
0001475444
TC Group Cayman Investment Holdings, L.P.
C/O WALKER CORPORATE SERVICES LIMITED
190 ELGIN AVENUE
GEORGE TOWN, GRAND CAYMAN
KY1-9001
0
0
1
0
0001548636
TC Group Cayman Investment Holdings Sub L.P.
C/O WALKER CORPORATE SERVICES LIMITED
190 ELGIN AVENUE
GEORGE TOWN, GRAND CAYMAN
KY1-9001
0
0
1
0
Class A Common Stock
2013-02-13
4
C
0
5984232
0
A
5984232
I
See footnotes
Mandatorily Convertible Perpetual Preferred Stock-Series A-1
0
2013-02-13
4
C
0
350000
0
D
Class A Common Stock
5984232
0
I
See Footnotes
Carlyle Partners V GW, L.P., CP V GW AIV1, L.P., CP V GW AIV2, L.P., CP V GW AIV3, L.P., CP V GW AIV4, L.P., CP V Coinvestment A, L.P. and CP V Coinvestment B, L.P. are the record holders of 3,550,409, 553,658, 540,740, 540,933, 559,829, 212,402 and 26,261 shares of Class A Common Stock, respectively.
Carlyle Group Management L.L.C. is the general partner of The Carlyle Group L.P., which is a publicly traded entity listed on NASDAQ. The Carlyle Group L.P. is the managing member of Carlyle Holdings II GP L.L.C., which is the general partner of Carlyle Holdings II L.P., which is the general partner of TC Group Cayman Investment Holdings, L.P., which is the general partner of TC Group Cayman Investment Holdings Sub L.P., which is the managing member of TC Group V, L.L.C., which is the general partner of TC Group V, L.P., which is the general partner of each of Carlyle Partners V GW, L.P., CP V GW AIV1, L.P., CP V GW AIV2, L.P., CP V GW AIV3, L.P., CP V GW AIV4, L.P., CP V Coinvestment A, L.P. and CP V Coinvestment B, L.P.
The Mandatorily Convertible Perpetual Preferred Stock, Series A-1 (the "Preferred Stock") had no expiration date and was convertible at any time into 17.0978166 shares of Class A Common Stock per share of Preferred Stock.
Due to the limitations of the electronic filing system, TC Group V, L.L.C., Carlyle Partners V GW, L.P., CP V GW AIV1, L.P., CP V GW
AIV2, L.P., CP V GW AIV3, L.P., CP V GW AIV4, L.P., CP V Coinvestment A, L.P. and CP V Coinvestment B, L.P. are filing a separate Form
4.
TC GROUP V, L.P.
By: /s/ Jeremy W. Anderson, Authorized Person
2013-02-28
CARLYLE GROUP MANAGEMENT L.L.C.
By: /s/ Jeremy W. Anderson, attorney-in-fact for Daniel D?Aniello, Chairman
2013-02-28
THE CARLYLE GROUP L.P.
By: Carlyle Group Management L.L.C., its general partner
By: /s/ Jeremy W. Anderson, attorney-in-fact for Daniel D?Aniello, Chairman
2013-02-28
CARLYLE HOLDINGS II GP L.L.C.
By: The Carlyle Group L.P., its managing member
By: Carlyle Group Management L.L.C., its general partner
By: /s/ Jeremy W. Anderson, attorney-in-fact for Daniel D?Aniello, Chairman
2013-02-28
CARLYLE HOLDINGS II L.P.
By: /s/ Jeremy W. Anderson, attorney-in-fact for Daniel D?Aniello, Chairman
2013-02-28
TC GROUP CAYMAN INVESTMENT HOLDINGS, L.P.
By: Carlyle Holdings II L.P., its general partner
By: /s/ Jeremy W. Anderson, attorney-in-fact for Daniel D?Aniello, Chairman
2013-02-28
TC GROUP CAYMAN INVESTMENT HOLDINGS SUB L.P.
By: TC Group Cayman Investment Holdings, L.P., its general partner
By: Carlyle Holdings II L.P., its general partner
By: /s/ Jeremy W. Anderson, attorney-in-fact for Daniel D?Aniello, Chairman
2013-02-28