0001209191-19-015786.txt : 20190304 0001209191-19-015786.hdr.sgml : 20190304 20190304172535 ACCESSION NUMBER: 0001209191-19-015786 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190228 FILED AS OF DATE: 20190304 DATE AS OF CHANGE: 20190304 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HELLMANN JOHN C CENTRAL INDEX KEY: 0001241524 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-31456 FILM NUMBER: 19655212 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: 20 WEST AVENUE CITY: DARIEN STATE: CT ZIP: 06820 BUSINESS PHONE: 2032028900 MAIL ADDRESS: STREET 1: 20 WEST AVENUE CITY: DARIEN STATE: CT ZIP: 06820 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-02-28 0 0001012620 GENESEE & WYOMING INC GWR 0001241524 HELLMANN JOHN C C/O GENESEE & WYOMING INC. 20 WEST AVENUE DARIEN CT 06820 1 1 0 0 Chief Exec. Officer & Pres. Class A Common Stock, $.01 par value 2019-02-28 4 F 0 1119 82.00 D 384200 D Class A Common Stock, $.01 par value 2019-02-28 4 F 0 1902 82.00 D 382298 D Class A Common Stock, $.01 par value 2019-02-28 4 A 0 22647 82.00 A 404945 D Class A Common Stock, $.01 par value 2019-02-28 4 A 0 1549 82.00 A 406494 D Class A Common Stock, $.01 par value 2019-02-28 4 A 0 2420 82.00 A 408914 D Class A Common Stock, $.01 par value 55555 I By Trust These shares were surrendered to Genesee & Wyoming Inc. (the "Company") for the payment of taxes in connection with the vesting of previously granted restricted stock awards. This restricted stock award was granted under the Company's Fourth Amended and Restated 2004 Omnibus Incentive Plan (the "Plan") and will vest in three equal annual installments, beginning February 28, 2020. Represents the number of underlying shares of Class A Common Stock of the Company earned in accordance with the Company's attainment of pre-determined financial performance targets established under its GVA methodology on the previously granted 2017 performance-based restricted stock unit award. The aforementioned award was also subject to time-based vesting, and partially vested on February 28, 2019. Represents the number of underlying shares of Class A Common Stock of the Company earned in accordance with the Company's attainment of pre-determined financial performance targets established under its GVA methodology on the previously granted 2018 performance-based restricted stock unit award. The aforementioned award was also subject to time-based vesting, and partially vested on February 28, 2019. Held by a trust of which Mr. Hellmann is investment trustee for the benefit of family members of Mr. Hellmann. Allison M. Fergus, Attorney-in-Fact for John C. Hellmann 2019-03-04