-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, TQWs1qru1EwOvNSf7gyTtiTsNsVoaxCR0Uwp9+IeHB0ynt0Z8unNil0udn4G3fD9 GxJ7aiY8qwtKX/mvt7WVPw== 0000950144-02-000230.txt : 20020413 0000950144-02-000230.hdr.sgml : 20020413 ACCESSION NUMBER: 0000950144-02-000230 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020110 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: RAILAMERICA INC /DE CENTRAL INDEX KEY: 0000887637 STANDARD INDUSTRIAL CLASSIFICATION: RAILROADS, LINE-HAUL OPERATING [4011] IRS NUMBER: 650328006 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20618 FILM NUMBER: 2506718 BUSINESS ADDRESS: STREET 1: 5300 BROKEN SOUND BLVD NW CITY: BOCA RATON STATE: FL ZIP: 33487 BUSINESS PHONE: 5619946015 MAIL ADDRESS: STREET 1: 5300 BROKEN SOUND BLVD NW CITY: BOCA RATON STATE: FL ZIP: 33487 FORMER COMPANY: FORMER CONFORMED NAME: RAILAMERICA INC DATE OF NAME CHANGE: 19920724 COMPANY DATA: COMPANY CONFORMED NAME: NICHOLS DOUGLAS R CENTRAL INDEX KEY: 0001106270 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: RAILAMERICA INC STREET 2: 5300 BROKEN SOULD BLVD NW CITY: BOCA RATON STATE: FL ZIP: 33487 BUSINESS PHONE: 3055790676 MAIL ADDRESS: STREET 1: C/O RAILAMERICA INC STREET 2: 5300 BROKEN SOUND BLVD NW CITY: BOACA RATON STATE: FL ZIP: 33487 4 1 g73654dne4.txt RAILAMERICA, INC./ DOUGLAS R. NICHOLS FORM 4 - ------ FORM 4 - ------ U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [ ] Check box if no longer subject to Filed pursuant to Section 16(a) of the Securities Section 16. Form 4 Exchange Act of 1934, Section 17(a) of the or Form 5 obligations Public Utility Holding Company Act of 1935 may continue. See or Section 30(f) of the Investment Company Instruction 1(b). Act of 1940 - ------------------------------------------------------------------------------------------------------------------------------------ | 1. Name and Address of Reporting Person* | 2. Issuer Name and Ticker or Trading Symbol |6. Relationship of Reporting Person to| | Nichols Douglas R. | RailAmerica, Inc. (NYSE:RRA) | Issuer (Check all applicable) | |--------------------------------------------|----------------------------------------------| | | (Last) (First) (Middle) | 3. IRS Identification | 4. Statement For | [X] Director [ ] 10% Owner | | | Number of Reporting | Month/Year | [ ] Officer (give [ ] Other (Specify| | | Person, if an Entity | | title below) below) | | | (Voluntary) | 12/01 | | | 5300 Broken Sound Blvd., N.W. | | | | |--------------------------------------------| |--------------------|--------------------------------------| | (Street) | | 5. If Amendment, |7. Individual or Joint/Group Filing | | | | Date of Original| (Check applicable line) | | | | (Month/Year) | [X] Form Filed by One | | Boca Raton Florida 33487 | | | Reporting Person | |--------------------------------------------|----------------------------------------------| [ ] Form Filed by More Than | | (City) (State) (Zip) | | One Reporting Person | | | | | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security |2. Transaction |3. Transac- |4. Securities Acquired (A) | 5. Amount of Se- |6. Owner- |7. Nature | | (Instr. 3) | Date | tion Code | or Disposed of (D) | curities Benefi-| ship | of In- | | | (Month/Day/ | (Instr. 8) | | cially Owned at | Form: | direct | | | Year) | | | End of Month | Direct | Benefi-| | | | | (Instr. 3, 4 and 5) | (Instr. 3 and 4)| (D) or | cial | | | |--------------|---------------------------| | Indirect | Owner- | | | | Code | V | Amount | (A) or| Price| | (I) | ship | | | | | | | (D) | | | (Instr. 4)| (Instr.| | | | | | | | | | | 4) | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock, par | | | | | | | | | | | value $.001 | | | | | | | | | | | per share | 12-31-01 | M | -- | 7,500 | A | $3.50| | D | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | Common Stock, par | | | | | | | | | | | value $.001 | | | | | | | 0 | | | | per share | 12-31-01 | S | -- | 7,500 | D |$14.50| (1) | D | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | |---------------------|-------------------|-------|------|------------|-------|------|--------------------|-------------|----------| | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------
FORM 4 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ |1. Title of Derivative | 2. Conver- |3. Trans- |4. Trans- |5. Number of | 6. Date Exer- |7. Title and Amount |8. Price | | Security | sion or | action | action | Derivative | cisable and | of Underlying | of | | (Instr. 3) | Exercise | Date | Code | Securities | Expiration | Securities | Deriv- | | | Price of | (Month/| (Instr.| Acquired (A) | Date | (Instr. 3 and 4) | ative | | | Deriv- | Day/ | 8) | of Disposed | (Month/Day/ | | Secur- | | | ative | Year) | | or (D) | Year) | | ity | | | Security | | | (Instr. 3, | | | (Instr. 5)| | | | | | 4, and 5) |-----------------|--------------------| | | | | | | | Date |Expira- | | Amount or| | | | | |----------|----------------| Exer- |tion | Title | Number of| | | | | | Code| V | (A) | (D) | cisable|Date | | Shares | | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| | | | | | | | | | |Common | | | | 1995 Non-Employee | | | | | | | | |Stock, | | | | Director Stock | | | | | | | | |$.001 | | | | Option Plan | | | | | | | | |par | | | | (Right to buy) | $3.50 | 12-31-01 | M | -- | -- | 7,500 | 7/24/96| 7/24/06|value | 50,000 | -- | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| | | | | | | | | | |Common | | | | 1995 Non-Employee | | | | | | | | |Stock, | | | | Director Stock | | | | | | | | |$.001 | | | | Option Plan | | | | | | | 6/30/99| |par | | | | (Right to buy) | $6.125 | -- | -- | -- | -- | -- | (2) | 6/30/08|value | 5,000 | -- | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| | | | | | | | | | |Common | | | | 1995 Non-Employee | | | | | | | | |Stock, | | | | Director Stock | | | | | | | | |$.001 | | | | Option Plan | | | | | | | 4/8/00 | |par | | | | (Right to buy) | $8.75 | -- | -- | -- | -- | -- | (3) | 4/8/09 |value | 5,000 | -- | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| | | | | | | | | | |Common | | | | 1995 Non-Employee | | | | | | | | |Stock, | | | | Director Stock | | | | | | | | |$.001 | | | | Option Plan | | | | | | | 1/1/00 | |par | | | | (Right to buy) | $9.00 | -- | -- | -- | -- | -- | (4) | 1/1/10 |value | 50,000 | -- | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| | | | | | | | | | |Common | | | | 1995 Non-Employee | | | | | | | | |Stock, | | | | Director Stock | | | | | | | | |$.001 | | | | Option Plan | | | | | | | 8/30/00| |par | | | | (Right to buy) | $6.50 | -- | -- | -- | -- | -- | (5) | 8/30/10|value | 5,000 | -- | |-----------------------|--------------|----------|-----|----|-------|--------|--------|--------|--------|-----------|-------------| | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------ | 9. Number of | 10. Ownership | 11. Nature of | | Derivative | Form of | Indirect | | Securities | Derivative | Beneficial | | Beneficially | Security: | Ownership | | Owned at End | Direct (D) | (Instr. 4) | | of Month | or Indirect (I) | | | (Instr. 4) | (Instr. 4) | | | | | | |---------------------|-------------------------------|----------------------| | 17,500 | D | -- | |---------------------|-------------------------------|----------------------| | 5,000 | D | -- | |---------------------|-------------------------------|----------------------| | 3,333 | D | -- | |---------------------|-------------------------------|----------------------| | 50,000 | D | -- | |---------------------|-------------------------------|----------------------| | 3,333 | D | -- | |---------------------|-------------------------------|----------------------| | | | | |---------------------|-------------------------------|----------------------| | | | | |---------------------|-------------------------------|----------------------| | | | | |---------------------|-------------------------------|----------------------| | | | | |---------------------|-------------------------------|----------------------| | | | | - ------------------------------------------------------------------------------ Explanation of Responses: (1) Does not include shares of Common Stock owned by First London Securities Corporation, a market maker for the Common Stock, of which Mr. Nichols is a 50% principal owner. (2) Thirty-three and one-third percent (33-1/3%) of such options became exercisable on each of June 30, 1999, June 30, 2000 and June 30, 2001. (3) Thirty-three and one-third percent (33-1/3%) of such options became exercisable on each of April 8, 2000 and April 8, 2001 and an additional thirty-three and one-third percent (33-1/3%) will become exercisable on April 8, 2002. (4) Thirty-three and one-third percent (33-1/3%) of such options became exercisable on each of January 1, 2000, January 1, 2001 and January 1, 2002. (5) Thirty-three and one-third percent (33-1/3%) of such options became exercisable on each of August 30, 2000 and August 30, 2001 and an additional thirty-three and one-third (33-1/3%) will become exercisable on August 30, 2002. ** Intentional misstatements or omissions of facts constitute Federal Criminal /s/ Douglas R. Nichols 01/10/02 Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). -------------------------------- ---------- Signature of Reporting Person(1) Date Douglas R. Nichols Note. File three copies of this form, one of which must be manually signed. Page 2 If space provided is insufficient, see Instruction 6 for procedure. (Print or Type Responses)
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