1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Stock Option (Right to Buy)
|
Â
(2)
|
02/26/2014 |
Class A Common Stock, $.01 par value
|
12,149
|
$
20.89
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(3)
|
05/28/2014 |
Class A Common Stock, $.01 par value
|
8,691
|
$
28.92
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(4)
|
08/30/2014 |
Class A Common Stock, $.01 par value
|
8,024
|
$
31.38
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(5)
|
11/29/2014 |
Class A Common Stock, $.01 par value
|
8,203
|
$
31.12
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(6)
|
02/25/2015 |
Class A Common Stock, $.01 par value
|
3,877
|
$
31.85
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(7)
|
05/27/2015 |
Class A Common Stock, $.01 par value
|
3,431
|
$
35.99
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(8)
|
08/30/2015 |
Class A Common Stock, $.01 par value
|
2,918
|
$
38.81
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(9)
|
11/29/2015 |
Class A Common Stock, $.01 par value
|
2,497
|
$
47.49
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(10)
|
02/27/2016 |
Class A Common Stock, $.01 par value
|
4,026
|
$
52.09
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(11)
|
05/30/2016 |
Class A Common Stock, $.01 par value
|
3,717
|
$
59.35
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(12)
|
08/30/2016 |
Class A Common Stock, $.01 par value
|
3,844
|
$
51.94
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(13)
|
11/29/2016 |
Class A Common Stock, $.01 par value
|
3,260
|
$
61.07
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(14)
|
02/27/2017 |
Class A Common Stock, $.01 par value
|
4,284
|
$
60.54
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(15)
|
05/30/2017 |
Class A Common Stock, $.01 par value
|
4,658
|
$
50.11
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(16)
|
08/30/2017 |
Class A Common Stock, $.01 par value
|
3,892
|
$
63.56
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(17)
|
11/29/2017 |
Class A Common Stock, $.01 par value
|
3,386
|
$
72.95
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(18)
|
02/27/2018 |
Class A Common Stock, $.01 par value
|
3,185
|
$
89.52
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) |
The amount includes 5,038 shares of Class A Common Stock represented by unvested restricted stock granted under the Second Amended and Restated 2004 Omnibus Incentive Plan of Genesee & Wyoming Inc. (the "Plan"), of which 3,093 shares will vest on February 28, 2014, 1,693 shares will vest on February 28, 2015, and 252 shares will vest on February 29, 2016. |
(2) |
This option award was granted under the Plan and is fully exercisable as of the date hereof. |
(3) |
This option award was granted under the Plan and is fully exercisable as of the date hereof. |
(4) |
This option award was granted under the Plan and is fully exercisable as of the date hereof. |
(5) |
This option award was granted under the Plan and is fully exercisable as of the date hereof. |
(6) |
This option award was granted under the Plan and is fully exercisable as of the date hereof. |
(7) |
This option award was granted under the Plan and is fully exercisable as of the date hereof. |
(8) |
This option award was granted under the Plan and is fully exercisable as of the date hereof. |
(9) |
This option award was granted under the Plan and is fully exercisable as of the date hereof. |
(10) |
This option award was granted under the Plan and is exercisable as to 2,684 of such shares as of the date hereof and will become exercisable as to 1,342 of such shares on February 28, 2014. |
(11) |
This option award was granted under the Plan and is exercisable as to 2,478 of such shares as of the date hereof and will become exercisable as to 1,239 of such shares on February 28, 2014. |
(12) |
This option award was granted under the Plan and is exercisable as to 2,563 of such shares as of the date hereof and will become exercisable as to 1,281 of such shares on February 28, 2014. |
(13) |
This option award was granted under the Plan and is exercisable as to 2,173 of such shares as of the date hereof and will become exercisable as to 1,087 of such shares on February 28, 2014. |
(14) |
This option award was granted under the Plan and is exercisable as to 1,428 of such shares as of the date hereof and will become exercisable as to 1,428 of such shares on February 28, 2014, and as to 1,428 of such shares on February 28, 2015. |
(15) |
This option award was granted under the Plan and is exercisable as to 1,553 of such shares as of the date hereof and will become exercisable as to 1,552 of such shares on February 28, 2014, and as to 1,553 of such shares on February 28, 2015. |
(16) |
This option award was granted under the Plan and is exercisable as to 1,298 of such shares as of the date hereof and will become exercisable as to 1,297 of such shares on February 28, 2014, and as to 1,297 of such shares on February 28, 2015. |
(17) |
This option award was granted under the Plan and is exercisable as to 1,129 of such shares as of the date hereof and will become exercisable as to 1,128 of such shares on February 28, 2014, and as to 1,129 of such shares on February 28, 2015. |
(18) |
This option award was granted under the Plan and will become exercisable as to 1,416 shares on February 28, 2014, as to 1,415 shares on February 28, 2015, and as to 354 shares on February 29, 2016. |