FORM 4 [X] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Gallagher Timothy J
2. Issuer Name and Ticker or Trading Symbol

GENESEE & WYOMING INC [ GWR ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
Chief Financial Officer
(Last)          (First)          (Middle)

C/O GENESEE & WYOMING INC., 20 WEST AVENUE
3. Date of Earliest Transaction (MM/DD/YYYY)

12/30/2019
(Street)

DARIEN, CT 06820
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. 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
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Class A Common Stock, $0.01 par value 12/30/2019  D(1)(2)  61340 (2)D$112.00 (1)0 D  
Class A Common Stock, $0.01 par value 12/30/2019  A(1)(3)  12795 A$0.00 12795 D  
Class A Common Stock, $0.01 par value 12/30/2019  D(1)(3)  12795 D$112.00 (1)(3)0 D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option (Right to Buy) $103.10 12/30/2019  D     4838   (4)2/26/2020 Class A Common Stock, $0.01 par value 4838 $8.90 (4)0 D  
Stock Option (Right to Buy) $82.34 12/30/2019  D     5868   (4)5/28/2020 Class A Common Stock, $0.01 par value 5868 $29.66 (4)0 D  
Stock Option (Right to Buy) $68.38 12/30/2019  D     5828   (4)8/30/2020 Class A Common Stock, $0.01 par value 5828 $43.62 (4)0 D  
Stock Option (Right to Buy) $69.27 12/30/2019  D     6226   (4)11/29/2020 Class A Common Stock, $0.01 par value 6226 $42.73 (4)0 D  
Stock Option (Right to Buy) $57.12 12/30/2019  D     24186   (5)2/25/2021 Class A Common Stock, $0.01 par value 24186 $54.88 (5)0 D  
Stock Option (Right to Buy) $74.14 12/30/2019  D     22259   (6)2/27/2022 Class A Common Stock, $0.01 par value 22259 $37.86 (6)0 D  
Stock Option (Right to Buy) $69.53 12/30/2019  D     23180   (7)2/27/2025 Class A Common Stock, $0.01 par value 23180 $42.47 (7)0 D  

Explanation of Responses:
(1) 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.
(2) Included in the table above are a total of 24,527 Stock Units and earned PSUs which were accelerated in connection with the Merger.
(3) 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.
(4) 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.
(5) 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.
(6) 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.
(7) 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.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Gallagher Timothy J
C/O GENESEE & WYOMING INC.
20 WEST AVENUE
DARIEN, CT 06820


Chief Financial Officer

Signatures
Allison M. Fergus, Attorney-in-Fact for Timothy J. Gallagher12/30/2019
**Signature of Reporting PersonDate

Genesee and Wyoming (NYSE:GWR)
Historical Stock Chart
From Oct 2024 to Nov 2024 Click Here for more Genesee and Wyoming Charts.
Genesee and Wyoming (NYSE:GWR)
Historical Stock Chart
From Nov 2023 to Nov 2024 Click Here for more Genesee and Wyoming Charts.