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4//SEC Filing

GENESEE & WYOMING INC 4

Accession 0000891839-04-000002

CIK 0001012620operating
View on SEC.govCompany Profile

Filed

Jan 4, 7:00 PM ET

Accepted

Jan 5, 4:59 PM ET

Size

16.9 KB

Accession

0000891839-04-000002

Insider Transaction Report

Form 4
Period: 2003-12-31
GENESEE & WYOMING INCGWR
LONG T MICHAEL
Director
Transactions
  • Award

    Phantom Stock Unit

    2003-12-31+548.45→ 548.45 total
    Exercise: $0.00→ Class A Common Stock $.01 par value (548.45 underlying)
Holdings

  • Stock Option (Right to Buy)

    Exercise: $12.33Exp: 2011-01-10→ Class A Common Stock, $.01 par value (4,500 underlying)
    4,500

  • Phantom Stock Unit

    Exercise: $0.00→ Class A Common Stock, $.01 par value (119.62 underlying)
    119.62

  • Phantom Stock Unit

    Exercise: $0.00→ Class A Common Stock $.01 par value (320.73 underlying)
    320.73

  • Class A Common Stock, $.01 par value

    (indirect: by The 1818 Fund III, L.P.)
    0

  • Phantom Stock Unit

    Exercise: $0.00→ Class A Common Stock, $.01 par value (342.47 underlying)
    342.47

  • Phantom Stock Unit

    Exercise: $0.00→ Class A Common Stock, $.01 par value (592.32 underlying)
    592.32

  • Stock Option (Right to Buy)

    Exercise: $19.97Exp: 2012-01-10→ Class A Common Stock, $.01 par value (2,250 underlying)
    2,250

  • Phantom Stock Units

    Exercise: $0.00→ Class A Common Stock, $.01 par value (1,654.63 underlying)
    1,654.63

  • Phantom Stock Unit

    Exercise: $0.00→ Class A Common Stock, $.01 par value (433.53 underlying)
    433.53

  • Phantom Stock Units

    Exercise: $0.00→ Class A Common Stock, $.01 par value (1,138.99 underlying)
    1,138.99

  • Series A Preferred Stock

    (indirect: by The 1818 Fund III, L.P.)
    → Class A Common Stock, $.01 par value
    25,000
Footnotes (9)
  • [F1]This option was previously reported. The Reporting Person can exercise the option as follows: 1,500 shares on 1/11/02, 1,500 shares on 1/11/03 and 1,500 shares on 1/11/04.
  • [F2]This option was previously reported. The Reporting Person can exercise the option as follows: 750 shares on 1/11/03, 750 shares on 1/11/04 and 750 shares on 1/11/05.
  • [F3]This option was previously reported. The Reporting Person can exercise the option as follows: 750 shares on 1/11/04, 750 shares on 1/11/05 and 750 shares on 1/11/06.
  • [F4]These aggregated Phantom Stock Units were previously reported by the Reporting Person. The Units were credited to the Reporting Person's account under the Issuer's Deferred Stock Plan for Non-Employee Directors. The Units are to be settled in the Issuer's Common Stock on a deferred basis pursuant to the Reporting Person's prior election.
  • [F5]This Phantom Stock Unit was previously reported by the Reporting Person. The Unit was credited to the Reporting Person's account under the Issuer's Deferred Stock Plan for Non-Employee Directors. The Unit is to be settled in the Issuer's Common Stock on a deferred basis pursuant to the Reporting Person's prior election.
  • [F6]This Phantom Stock Unit was credited to the Reporting Person's account on 12/31/03 at $32.25 per share under the Issuer's Deferred Stock Plan for Non-Employee Directors in a transaction exempt under Rule 16b-3. The Unit is to be settled in the Issuer's Common Stock on a deferred basis pursuant to the Reporting Person's prior election.
  • [F7]As previously reported, $1,000 per share of Preferred Stock divided by the Conversion Price, set at $10.2222, but subject to adjustment.
  • [F8]As previously reported, convertible at any time (without limitation) into 2,445,652 shares of Class A Common Stock, subject to adjustment. In addition, the Reporting Person may, pursuant to Rule 13d-3 of the Securities Exchange Act of 1934, as amended, be deemed to own certain shares of Class A Common Stock of Genesee & Wyoming Inc. owned by Mortimer B. Fuller, III as a result of a voting agreement. The Reporting Person disclaims beneficial ownership of such shares.
  • [F9]By The 1818 Fund III, L.P. (the "1818 Fund III"). The Reporting Person is a general partner of Brown Brothers Harriman & Co. ("BBH"), the general partner of the 1818 Fund III, and, as such, his pecuniary interest in the securities is limited to his percentage interest in BBH's interest in such securities.

Documents

1 file

Issuer

GENESEE & WYOMING INC

CIK 0001012620

→
Entity typeoperating
IncorporatedDE

Related Parties

1
  • filerCIK 0001012620

Filing Metadata

Form type
4
Filed
Jan 4, 7:00 PM ET
Accepted
Jan 5, 4:59 PM ET
Size
16.9 KB
View on SEC.gov