GENESEE & WYOMING INC Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 4 rows, 4 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-02-13: Reporting owner CP V COINVESTMENT A, L.P. | Carlyle Partners V GW, L.P. | CP V GW AIV 2, L.P. | CP V GW AIV 3, L.P. | CP V GW AIV 4, L.P. | CP V COINVESTMENT B, L.P. | CP V GW AIV 1, L.P. | TC Group V, L.L.C.; Form 4; Security Mandatorily Convertible Perpetual Preferred Stock-Series A-1; Transaction C Conversion of derivative security.
- 2013-02-13: Reporting owner TC Group Cayman Investment Holdings, L.P. | Carlyle Holdings II GP L.L.C. | Carlyle Group Management L.L.C. | TC Group Cayman Investment Holdings Sub L.P. | Carlyle Holdings II L.P. | TC Group V, L.P. | Carlyle Group L.P.; Form 4; Security Mandatorily Convertible Perpetual Preferred Stock-Series A-1; Transaction C Conversion of derivative security.
- 2012-10-10: Reporting owner TC Group V, L.L.C. | CP V COINVESTMENT B, L.P. | Carlyle Partners V GW, L.P. | CP V GW AIV 1, L.P. | CP V GW AIV 3, L.P. | CP V GW AIV 4, L.P. | CP V COINVESTMENT A, L.P. | CP V GW AIV 2, L.P.; Form 3; Security Mandatorily Convertible Perpetual Preferred Stock-Series A-1; Transaction Holding.
- 2012-10-10: Reporting owner TC Group V, L.P. | Carlyle Holdings II GP L.L.C. | Carlyle Group L.P. | Carlyle Holdings II L.P. | TC Group Cayman Investment Holdings Sub L.P. | TC Group Cayman Investment Holdings, L.P. | Carlyle Group Management L.L.C.; Form 3; Security Mandatorily Convertible Perpetual Preferred Stock-Series A-1; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-02-13 | CP V COINVESTMENT A, L.P. | Carlyle Partners V GW, L.P. | CP V GW AIV 2, L.P. | CP V GW AIV 3, L.P. | CP V GW AIV 4, L.P. | CP V COINVESTMENT B, L.P. | CP V GW AIV 1, L.P. | TC Group V, L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Mandatorily Convertible Perpetual Preferred Stock-Series A-1 Derivative · Indirect · See Footnotes | C Conversion of derivative security | −350,000 0 owned after | $0.00 | 2013-02-28 | |
| 2013-02-13 | TC Group Cayman Investment Holdings, L.P. | Carlyle Holdings II GP L.L.C. | Carlyle Group Management L.L.C. | TC Group Cayman Investment Holdings Sub L.P. | Carlyle Holdings II L.P. | TC Group V, L.P. | Carlyle Group L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Mandatorily Convertible Perpetual Preferred Stock-Series A-1 Derivative · Indirect · See Footnotes | C Conversion of derivative security | −350,000 0 owned after | $0.00 | 2013-02-28 | |
| 2012-10-10 holding as of filing | TC Group V, L.L.C. | CP V COINVESTMENT B, L.P. | Carlyle Partners V GW, L.P. | CP V GW AIV 1, L.P. | CP V GW AIV 3, L.P. | CP V GW AIV 4, L.P. | CP V COINVESTMENT A, L.P. | CP V GW AIV 2, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Mandatorily Convertible Perpetual Preferred Stock-Series A-1 Derivative · Indirect · See Footnotes | Holding | no price filed | 2012-10-10 | ||
| 2012-10-10 holding as of filing | TC Group V, L.P. | Carlyle Holdings II GP L.L.C. | Carlyle Group L.P. | Carlyle Holdings II L.P. | TC Group Cayman Investment Holdings Sub L.P. | TC Group Cayman Investment Holdings, L.P. | Carlyle Group Management L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Mandatorily Convertible Perpetual Preferred Stock-Series A-1 Derivative · Indirect · See Footnotes | Holding | no price filed | 2012-10-10 |