4 1 x1019schau.txt FORM 4 - SCHAUER UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP (X) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person Schauer, William R. 6250 North River Road Suite 9000 Rosemont, IL 60018 USA 2. Issuer Name and Ticker or Trading Symbol Wisconsin Central Transportation Corporation WCLX 3. IRS or Social Security Number of Reporting Person (Voluntary) ###-##-#### 4. Statement for Month/Year 10/01 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Vice President - Marketing, North American Subsidiaries 7. Individual or Joint/Group Filing (Check Applicable Line) (X) Form filed by One Reporting Person ( ) Form filed by More than One Reporting Person

~~_________________________________________________________________________________________________________________________________~~___________________________________________________________________________________________________________________________________ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ~~_________________________________________________________________________________________________________________________________~~___________________________________________________________________________________________________________________________________| 1. Title of Security |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | | Transaction | or Disposed of (D) | Securities |ect | Beneficial Ownership | | | | | Beneficially |(D)or | | | | | | | A/| | Owned at |Indir | | | Date |Code|V| Amount | D | Price | End of Month |ect(I)| | ~~_________________________________________________________________________________________________________________________________~~___________________________________________________________________________________________________________________________________| Common Stock |9/28/010|M |V|36,~~281~~155 |A |13.~~9675~~42 | | | | ~~---------------------------------------------------------------------------------------------------------------------------------~~|1 ~~Common~~| ~~Stock~~ |~~9/28/01|M~~ |~~V|669~~ |A |~~15.938~~ | | | | -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |109/428/010|GM |V|~~5,200~~888 |DA |~~N/A~~13.00 | | | | ~~---------------------------------------------------------------------------------------------------------------------------------~~|1 ~~Common~~| ~~Stock~~ |~~10/4/01|G~~ |~~V|5,830~~ |D |~~N/A~~ | | | | -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |10/49/010|GS |V |5110,~~830~~178 |D |~~N/A~~17.15 |0 | | | ~~---------------------------------------------------------------------------------------------------------------------------------~~|1 ~~Common Stock~~ |~~10/9/01|S~~ | |~~474,538~~ |D |~~17.15~~ |0 | | | -----------------------------------------------------------------------------------------------------------------------------------| ~~_________________________________________________________________________________________________________________________________~~___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con- |3. |4. |5.Number of De |6.Date Exer |7.Title and Amount |8.Price |9.Number |10. |11.Nature of| ~~Derivative~~Security |version | Transaction | ~~Derivative~~rivative Secu |cisable and | of Underlying |of ~~Der-~~ Deri|of Deriva~~-|Di-~~ |ofDir|Indirect | ~~Security~~ |or Exer- | | | ~~Securities~~rities Acqui |Expiration | Securities |~~ivative~~vative |tive |~~rect~~ ect|~~Indirect~~Beneficial | |cise | | | ~~Acquired~~red(A) or Dis |Date(Month/ | |~~Secur-~~Secu |Securities |(D)|Ownership |~~Beneficial|~~ |Price of| | | orposed ~~Disposed~~of(D) |Day/Year) | |~~ity~~rity |Benefi |or |~~Ownership~~ | |Deriva- | | | ~~of (D)~~ |Date | Expir| | |ficially |~~Indi-~~Ind| | |tive | | | | A/|~~Date |Expira~~Exer-|ation| Title and Number | |Owned at |~~rect~~ ire| | |Secu- | | | | | A/D |~~Exer~~cisa- |~~tion~~Date | of Shares | |End of |ct | | |rity |Date |Code|V| Amount | D |~~cisable~~ble |~~Date~~ | | |Month |(I) | | ___________________________________________________________________________________________________________________________________| ~~Phantom~~Option ~~Stock~~- ~~Units~~Right to Buy |~~N/A~~13.42 |69/1428/01|J*X |V|17,~~801~~452 |AD |~~see~~ 8/5/9|N8/A 4/0|Common Stock|17,~~801~~452 | | | | | | |01 | | | | |~~note~~4 |4 | | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Option - Right to Buy |1613.6342 |6 9/~~15/01~~28|J^X |V|67,~~000~~452 |AD |121/161/019|6 8/144/11| Common ~~Stock~~Stoc|67,~~000~~452 | | | | | ~~-----------------------------------------------------------------------------------------------------------------------------------~~| ~~Option-Right to Buy~~ |~~12.00 |9~~/~~28/~~01 |X |V |~~6,000~~ |D |~~11/20/94|~~5~~/19/~~ |04 |~~Common~~k ~~Stock~~|~~6,000~~ | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Option - Right to Buy |1713.0942 | 9/28~~/01~~|X |V|67,~~000~~452 |D |111/201/959|5 8/184/05| Common ~~Stock~~Stoc|67,~~000~~452 | | | | | | |/01 | | | | |6 |04 |k | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Option - Right to Buy |1213.~~8125~~42 | 9/28~~/01~~|X |V|67,~~000~~452 |D |111/201/009|5 8/184/10| Common ~~Stock~~Stoc|67,~~000~~452 | | | | | | |/01 | | | | |7 |04 |k | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Option - Right to Buy |1513.~~938~~42 | 9/28~~/01~~|X |V|~~10,000~~192 |D |91/1/99 9| 8/314/09| Common ~~Stock~~Stoc|~~10,000|~~192 | | | | ~~-----------------------------------------------------------------------------------------------------------------------------------~~| ~~Option-Right to Buy~~ |~~30.84~~ |10/9/01 |J+ |V |~~6,000~~ |D |~~11/18/96~~8 |~~5/16/06~~04 |~~Common~~k ~~Stock~~|~~6,000~~ | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Option - Right to Buy |3313.~~1875~~00 |~~10/~~ 9/0128|J+X |V|63,~~000~~700 |D |111/174/970|51/153/071| Common ~~Stock~~Stoc|63,~~000~~700 | | | | | | |/01 | | | | |1 |0 |k | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Option - Right to Buy |2216.~~5625~~625 |10/9/01|J+ |V|610,000 |D |111/235/989|51/214/080| Common ~~Stock~~Stoc|610,000 | | | | | | |01 | | | | |9 |9 |k | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Option - Right to Buy |2113.7500 | 10/9~~/01~~|J+ |V|63,~~000~~700 |D |111/224/990|51/203/091| Common ~~Stock~~Stoc|63,~~000~~700 | | | | | | |/01 | | | | |2 |0 |k | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| Option - Right to Buy |1613.6300 | 10/9~~/01~~|J+ |V|63,~~000~~700 |D |121/164/010|61/143/111| Common ~~Stock~~Stoc|63,~~000~~700 | | | | | | |/01 | | | | |3 |0 |k | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| ~~Phantom~~Option ~~Stock~~- ~~Units~~Right to Buy|~~N/A~~13.00 | 10/9~~/01~~|J~+ |V|3,~~686~~700 |D |~~see~~ 1/4/0|N1/A 3/1| Common ~~Stock~~Stoc|3,~~686~~700 | |0 | | | | |/01 | | | | |~~note~~4 |0 |k | | | | | | -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|

Explanation of Responses: + Options converted to options to purchase shares of Canadian National Railway Company pursuant to merger.

Filing Compare · WISCONSIN CENTRAL TRANSPORTATION CORP