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Hellmann John C – ‘4’ for 12/30/19 re: Genesee & Wyoming Inc.

On:  Monday, 12/30/19, at 4:59pm ET   ·   For:  12/30/19   ·   Accession #:  1209191-19-62156   ·   File #:  1-31456

Previous ‘4’:  ‘4’ on 11/22/19 for 11/21/19   ·   Latest ‘4’:  This Filing

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

12/30/19  Hellmann John C                   4                      1:25K  Genesee & Wyoming Inc.            DONNELLEY FIN… File16/FA

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Form 4 Submission -- doc4.xml/3.6                   HTML      3K


        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
Plain Text rendering:  Form 4 Submission
 
                                                                                                                                                                                
Ownership Document
 
Schema Version:  X0306
Document Type:  4
Period of Report:  12/30/19
Not Subject to Section 16:  1
Issuer:
Issuer CIK:  1012620
Issuer Name:  GENESEE & WYOMING INC
Issuer Trading Symbol:  GWR
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1241524
Owner Name:  HELLMANN JOHN C
Reporting Owner Address:
Owner Street 1:  C/O GENESEE & WYOMING INC.
Owner Street 2:  20 WEST AVENUE
Owner City:  DARIEN
Owner State:  CT
Owner ZIP Code:  06820
Owner State Description:
Reporting Owner Relationship:
Is Director?  Yes
Is Officer?  Yes
Is Ten Percent Owner?  No
Is Other?  No
Officer Title:  Chief Exec. Officer & Pres.
Non-Derivative Table:
Non-Derivative Transaction:
Security Title:
Value:  Class A Common Stock, $0.01 par value
Transaction Date:
Value:  9/19/19
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  5
Transaction Code:  G
Equity Swap Involved?  No
Transaction Timeliness:
Value:  E
Transaction Amounts:
Transaction Shares:
Value:  64,474
Transaction Price Per Share:
Value:  0.00
Transaction Acquired-Disposed Code:
Value:  D
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  358,530
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  Class A Common Stock, $0.01 par value
Transaction Date:
Value:  10/4/19
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  5
Transaction Code:  G
Equity Swap Involved?  No
Transaction Timeliness:
Value:  E
Transaction Amounts:
Transaction Shares:
Value:  56,039
Transaction Price Per Share:
Value:  0.00
Transaction Acquired-Disposed Code:
Value:  D
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  302,491
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  Class A Common Stock, $0.01 par value
Transaction Date:
Value:  12/30/19
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  D
Equity Swap Involved?  No
Footnote ID:  F1
Footnote ID:  F2
Transaction Timeliness:
Value:
Transaction Amounts:
Transaction Shares:
Value:  302,491
Footnote ID:  F1
Transaction Price Per Share:
Value:  112.00
Footnote ID:  F1
Transaction Acquired-Disposed Code:
Value:  D
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  Class A Common Stock, $0.01 par value
Transaction Date:
Value:  12/30/19
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  D
Equity Swap Involved?  No
Footnote ID:  F1
Footnote ID:  F2
Transaction Timeliness:
Value:
Transaction Amounts:
Transaction Shares:
Value:  55,555
Transaction Price Per Share:
Value:  112.00
Footnote ID:  F1
Transaction Acquired-Disposed Code:
Value:  D
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  By Trust
Footnote ID:  F3
Non-Derivative Transaction:
Security Title:
Value:  Class A Common Stock, $0.01 par value
Transaction Date:
Value:  12/30/19
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  A
Equity Swap Involved?  No
Footnote ID:  F1
Footnote ID:  F4
Transaction Timeliness:
Value:
Transaction Amounts:
Transaction Shares:
Value:  46,386
Transaction Price Per Share:
Value:  0.00
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  46,386
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  Class A Common Stock, $0.01 par value
Transaction Date:
Value:  12/30/19
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  D
Equity Swap Involved?  No
Footnote ID:  F1
Footnote ID:  F4
Transaction Timeliness:
Value:
Transaction Amounts:
Transaction Shares:
Value:  46,386
Transaction Price Per Share:
Value:  112.00
Footnote ID:  F1
Footnote ID:  F4
Transaction Acquired-Disposed Code:
Value:  D
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Table:
Derivative Transaction:
Security Title:
Value:  Stock Option (Right to Buy)
Conversion or Exercise Price:
Value:  103.10
Transaction Date:
Value:  12/30/19
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  D
Equity Swap Involved?  No
Transaction Timeliness:
Value:
Transaction Amounts:
Transaction Shares:
Value:  17,858
Transaction Price Per Share:
Value:  8.90
Footnote ID:  F5
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Footnote ID:  F5
Expiration Date:
Value:  2/26/20
Underlying Security:
Underlying Security Title:
Value:  Class A Common Stock, $0.01 par value
Underlying Security Shares:
Value:  17,858
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Transaction:
Security Title:
Value:  Stock Option (Right to Buy)
Conversion or Exercise Price:
Value:  82.34
Transaction Date:
Value:  12/30/19
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  D
Equity Swap Involved?  No
Transaction Timeliness:
Value:
Transaction Amounts:
Transaction Shares:
Value:  21,659
Transaction Price Per Share:
Value:  29.66
Footnote ID:  F5
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Footnote ID:  F5
Expiration Date:
Value:  5/28/20
Underlying Security:
Underlying Security Title:
Value:  Class A Common Stock, $0.01 par value
Underlying Security Shares:
Value:  21,659
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Transaction:
Security Title:
Value:  Stock Option (Right to Buy)
Conversion or Exercise Price:
Value:  68.38
Transaction Date:
Value:  12/30/19
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  D
Equity Swap Involved?  No
Transaction Timeliness:
Value:
Transaction Amounts:
Transaction Shares:
Value:  21,515
Transaction Price Per Share:
Value:  43.62
Footnote ID:  F5
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Footnote ID:  F5
Expiration Date:
Value:  8/30/20
Underlying Security:
Underlying Security Title:
Value:  Class A Common Stock, $0.01 par value
Underlying Security Shares:
Value:  21,515
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Transaction:
Security Title:
Value:  Stock Option (Right to Buy)
Conversion or Exercise Price:
Value:  69.27
Transaction Date:
Value:  12/30/19
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  D
Equity Swap Involved?  No
Transaction Timeliness:
Value:
Transaction Amounts:
Transaction Shares:
Value:  22,982
Transaction Price Per Share:
Value:  42.73
Footnote ID:  F5
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Footnote ID:  F5
Expiration Date:
Value:  11/29/20
Underlying Security:
Underlying Security Title:
Value:  Class A Common Stock, $0.01 par value
Underlying Security Shares:
Value:  22,982
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Transaction:
Security Title:
Value:  Stock Option (Right to Buy)
Conversion or Exercise Price:
Value:  57.12
Transaction Date:
Value:  12/30/19
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  D
Equity Swap Involved?  No
Transaction Timeliness:
Value:
Transaction Amounts:
Transaction Shares:
Value:  89,280
Transaction Price Per Share:
Value:  54.88
Footnote ID:  F6
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Footnote ID:  F6
Expiration Date:
Value:  2/25/21
Underlying Security:
Underlying Security Title:
Value:  Class A Common Stock, $0.01 par value
Underlying Security Shares:
Value:  89,280
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Transaction:
Security Title:
Value:  Stock Option (Right to Buy)
Conversion or Exercise Price:
Value:  74.14
Transaction Date:
Value:  12/30/19
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  D
Equity Swap Involved?  No
Transaction Timeliness:
Value:
Transaction Amounts:
Transaction Shares:
Value:  82,167
Transaction Price Per Share:
Value:  37.86
Footnote ID:  F7
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Footnote ID:  F7
Expiration Date:
Value:  2/27/22
Underlying Security:
Underlying Security Title:
Value:  Class A Common Stock, $0.01 par value
Underlying Security Shares:
Value:  82,167
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Transaction:
Security Title:
Value:  Stock Option (Right to Buy)
Conversion or Exercise Price:
Value:  69.53
Transaction Date:
Value:  12/30/19
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  D
Equity Swap Involved?  No
Transaction Timeliness:
Value:
Transaction Amounts:
Transaction Shares:
Value:  83,588
Transaction Price Per Share:
Value:  42.47
Footnote ID:  F8
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Footnote ID:  F8
Expiration Date:
Value:  2/27/25
Underlying Security:
Underlying Security Title:
Value:  Class A Common Stock, $0.01 par value
Underlying Security Shares:
Value:  83,588
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Transaction:
Security Title:
Value:  Class B Common Stock, $0.01 par value
Conversion or Exercise Price:
Footnote ID:  F9
Transaction Date:
Value:  12/30/19
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  D
Equity Swap Involved?  No
Footnote ID:  F1
Footnote ID:  F9
Transaction Timeliness:
Value:
Transaction Amounts:
Transaction Shares:
Value:  1,872
Transaction Price Per Share:
Value:  112.00
Footnote ID:  F1
Footnote ID:  F9
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Footnote ID:  F9
Expiration Date:
Footnote ID:  F9
Underlying Security:
Underlying Security Title:
Value:  Class A Common Stock, $0.01 par value
Underlying Security Shares:
Value:  1,872
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Footnotes:
Footnote - F1:  On December 30, 2019, pursuant to an Agreement and Plan of Merger, dated as of July 1, 2019 (the "Merger Agreement"), among Genesee & Wyoming Inc. ("G&W"), DJP XX, LLC ("Parent"), and MKM XXII Corp. ("Merger Sub"), Merger Sub was merged with and into G&W (the "Merger") with G&W surviving the Merger as a wholly-owned subsidiary of Parent. Pursuant to the Merger Agreement, upon completion of the Merger, each share of G&W common stock (other than certain excluded shares) was converted into the right to receive $112.00 in cash (the "Merger Consideration") and time-based vesting conditions of each (i) unvested deferred stock unit, restricted stock unit, phantom stock unit, restricted share or similar stock right ("Stock Units") and (ii) previously earned performance-based restricted stock units ("PSUs") were deemed satisfied and accelerated in full and each Stock Unit and earned PSU was cancelled and entitled the holder to receive the Merger Consideration.
Footnote - F2:  Included in the table above are a total of 104,355 Stock Units and earned PSUs which were accelerated in connection with the Merger.
Footnote - F3:  Held by a trust of which Mr. Hellmann is investment trustee for the benefit of family members of Mr. Hellmann.
Footnote - F4:  The reporting person was previously granted PSUs which provided for delivery of shares of common stock upon the achievement of specified performance criteria. Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, outstanding PSUs were deemed immediately vested, PSUs with respect to a performance period beginning January 1, 2019 and ending December 31, 2021 were deemed earned based on target-level performance and all other PSUs were deemed earned based on the actual performance achieved. Each earned PSU was cancelled and entitled the holder to receive an amount in cash equal to the number of shares subject to the earned PSU multiplied by the Merger Consideration.
Footnote - F5:  These options which provided for vesting in three equal annual installments, beginning February 27, 2016, were cancelled in the Merger in exchange for a right to receive an amount in cash equal to the number of shares subject to the option multiplied by the excess, if any, of $112.00 over the exercise price per share of the option.
Footnote - F6:  This option which provided for vesting in three equal annual installments, beginning February 28, 2017, was cancelled in the Merger in exchange for a right to receive an amount in cash equal to the number of shares subject to the option multiplied by the excess, if any, of $112.00 over the exercise price per share of the option.
Footnote - F7:  This option which provided for vesting in three equal annual installments, beginning February 28, 2018, became vested immediately prior to the effective time of the Merger and was cancelled in the Merger in exchange for a right to receive an amount in cash equal to the number of shares subject to the option multiplied by the excess, if any, of the Merger Consideration over the exercise price per share of the option.
Footnote - F8:  This option which provided for vesting in three equal annual installments, beginning February 28, 2019, became vested immediately prior to the effective time of the Merger and was cancelled in the Merger in exchange for a right to receive an amount in cash equal to the number of shares subject to the option multiplied by the excess, if any, of the Merger Consideration over the exercise price per share of the option.
Footnote - F9:  This Class B Common Stock is not registered pursuant to Section 12 of the Act. However, each share of Class B Common Stock was freely convertible into one share of Class A Common Stock.
Remarks:
Owner Signature:
Signature Name:  Allison M. Fergus, Attorney-in-Fact for John C. Hellmann
Signature Date:  12/30/19


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