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

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<issuerName> GENESEE & WYOMING INC </issuerName>

</issuer>

<rptOwnerName> HELLMANN JOHN C </rptOwnerName>

</reportingOwnerId>

<rptOwnerStreet1> C/O GENESEE & WYOMING INC. </rptOwnerStreet1>

<rptOwnerStreet2> 20 WEST AVENUE </rptOwnerStreet2>

<rptOwnerCity> DARIEN </rptOwnerCity>

</reportingOwnerAddress>

<officerTitle> Chief Exec. Officer & Pres. </officerTitle>

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<value> Class A Common Stock, $0.01 par value </value>

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<value> Class A Common Stock, $0.01 par value </value>

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<value> Class A Common Stock, $0.01 par value </value>

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<value> Class A Common Stock, $0.01 par value </value>

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<value> By Trust </value>

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<value> Class A Common Stock, $0.01 par value </value>

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<value> Class A Common Stock, $0.01 par value </value>

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<value> Stock Option (Right to Buy) </value>

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<value> Class A Common Stock, $0.01 par value </value>

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<value> Stock Option (Right to Buy) </value>

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<value> Class A Common Stock, $0.01 par value </value>

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<value> Stock Option (Right to Buy) </value>

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<value> Class A Common Stock, $0.01 par value </value>

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<value> Stock Option (Right to Buy) </value>

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<value> Class A Common Stock, $0.01 par value </value>

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<value> Class A Common Stock, $0.01 par value </value>

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<value> Stock Option (Right to Buy) </value>

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<value> Class A Common Stock, $0.01 par value </value>

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<value> Stock Option (Right to Buy) </value>

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<value> Class A Common Stock, $0.01 par value </value>

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<value> Class B Common Stock, $0.01 par value </value>

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<value> Class A Common Stock, $0.01 par value </value>

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<footnote id="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>

<footnote id="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>

<footnote id="F3"> Held by a trust of which Mr. Hellmann is investment trustee for the benefit of family members of Mr. Hellmann. </footnote>

<footnote id="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>

<footnote id="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>

<footnote id="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>

<footnote id="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>

<footnote id="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>

<footnote id="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. </footnote>

</footnotes>

<signatureName> Allison M. Fergus, Attorney-in-Fact for John C. Hellmann </signatureName>

</ownerSignature>

</ownershipDocument>

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

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

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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

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

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

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