Bott Richard Harold

SEC source: 0001209191-19-062134 · doc4.xml · nonDerivative · entry 1

Bott Richard Harold · CIK 0001559364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: On December 30, 2019, in connection with the acquisition of Genesee & Wyoming Inc. ("G&W") by Brookfield Infrastructure and GIC, pursuant to an Agreement and Plan of Merger, dated as of July 1, 2019, among 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 unvested deferred stock unit, restricted stock unit, phantom stock unit, restricted share or similar stock right ("Stock Units") were deemed satisfied and accelerated in full and each Stock Unit was cancelled and entitled the holder to receive the Merger Consideration.

F2 · kind: Included in the table above are a total of 1,161 Stock Units which were accelerated in connection with the Merger.

F2 · shares: Included in the table above are a total of 1,161 Stock Units which were accelerated in connection with the Merger.

F1 · price: On December 30, 2019, in connection with the acquisition of Genesee & Wyoming Inc. ("G&W") by Brookfield Infrastructure and GIC, pursuant to an Agreement and Plan of Merger, dated as of July 1, 2019, among 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 unvested deferred stock unit, restricted stock unit, phantom stock unit, restricted share or similar stock right ("Stock Units") were deemed satisfied and accelerated in full and each Stock Unit was cancelled and entitled the holder to receive the Merger Consideration.

SEC source: 0001209191-19-051851 · doc4.xml · nonDerivative · entry 1

Bott Richard Harold · CIK 0001559364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,981

F1 · shares: These are deferred stock units acquired pursuant to the deferred stock arrangements for non-employee directors in accordance with the terms of the Fourth Amended and Restated 2004 Omnibus Incentive Plan ("Omnibus Plan") of Genesee & Wyoming Inc. (the "Company"). The deferred stock units are converted into shares of the Company's Class A Common Stock on a one-for-one basis upon distribution. Distribution of shares of Class A Common Stock occurs the first day of the calendar month after a director's service on the Company's Board of Directors terminates or upon another date or dates designated by the director pursuant to the Omnibus Plan.

SEC source: 0001209191-19-040255 · doc4.xml · nonDerivative · entry 1

Bott Richard Harold · CIK 0001559364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,787

F1 · shares: These are deferred stock units acquired pursuant to the deferred stock arrangements for non-employee directors in accordance with the terms of the Fourth Amended and Restated 2004 Omnibus Incentive Plan ("Omnibus Plan") of Genesee & Wyoming Inc. (the "Company"). The deferred stock units are converted into shares of the Company's Class A Common Stock on a one-for-one basis upon distribution. Distribution of shares of Class A Common Stock occurs the first day of the calendar month after a director's service on the Company's Board of Directors terminates or upon another date or dates designated by the director pursuant to the Omnibus Plan.

SEC source: 0001209191-19-032763 · doc4.xml · nonDerivative · entry 1

Bott Richard Harold · CIK 0001559364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,455

F1 · shares: This restricted stock award was granted under the Fourth Amended and Restated 2004 Omnibus Incentive Plan of Genesee & Wyoming Inc. (the "Company"). The shares subject to the restricted stock award will vest in three equal installments on the dates of the next three annual meetings of the Company.

SEC source: 0001209191-19-022643 · doc4.xml · nonDerivative · entry 1

Bott Richard Harold · CIK 0001559364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,294

F1 · shares: These are deferred stock units acquired pursuant to the deferred stock arrangements for non-employee directors in accordance with the terms of the Fourth Amended and Restated 2004 Omnibus Incentive Plan ("Omnibus Plan") of Genesee & Wyoming Inc. (the "Company"). The deferred stock units are converted into shares of the Company's Class A Common Stock on a one-for-one basis upon distribution. Distribution of shares of Class A Common Stock occurs the first day of the calendar month after a director's service on the Company's Board of Directors terminates or upon another date or dates designated by the director pursuant to the Omnibus Plan.

SEC source: 0001209191-19-001099 · doc4.xml · nonDerivative · entry 1

Bott Richard Harold · CIK 0001559364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,974

F1 · shares: These are deferred stock units acquired pursuant to the deferred stock arrangements for non-employee directors in accordance with the terms of the Fourth Amended and Restated 2004 Omnibus Incentive Plan ("Omnibus Plan") of Genesee & Wyoming Inc. (the "Company"). The deferred stock units are converted into shares of the Company's Class A Common Stock on a one-for-one basis upon distribution. Distribution of shares of Class A Common Stock occurs the first day of the calendar month after a director's service on the Company's Board of Directors terminates or upon another date or dates designated by the director pursuant to the Omnibus Plan.

SEC source: 0001209191-18-059140 · doc4.xml · nonDerivative · entry 1

Bott Richard Harold · CIK 0001559364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001209191-18-053269 · doc4.xml · nonDerivative · entry 1

Bott Richard Harold · CIK 0001559364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,632

F1 · shares: These are deferred stock units acquired pursuant to the deferred stock arrangements for non-employee directors in accordance with the terms of the Fourth Amended and Restated 2004 Omnibus Incentive Plan ("Omnibus Plan") of Genesee & Wyoming Inc. (the "Company"). The deferred stock units are converted into shares of the Company's Class A Common Stock on a one-for-one basis upon distribution. Distribution of shares of Class A Common Stock occurs the first day of the calendar month after a director's service on the Company's Board of Directors terminates or upon another date or dates designated by the director pursuant to the Omnibus Plan.

SEC source: 0001209191-18-041002 · doc4.xml · nonDerivative · entry 1

Bott Richard Harold · CIK 0001559364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,370

F1 · shares: These are deferred stock units acquired pursuant to the deferred stock arrangements for non-employee directors in accordance with the terms of the Fourth Amended and Restated 2004 Omnibus Incentive Plan ("Omnibus Plan") of Genesee & Wyoming Inc. (the "Company"). The deferred stock units are converted into shares of the Company's Class A Common Stock on a one-for-one basis upon distribution. Distribution of shares of Class A Common Stock occurs the first day of the calendar month after a director's service on the Company's Board of Directors terminates or upon another date or dates designated by the director pursuant to the Omnibus Plan.

SEC source: 0001209191-18-033411 · doc4.xml · nonDerivative · entry 1

Bott Richard Harold · CIK 0001559364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,087

F1 · shares: This restricted stock award was granted under the Fourth Amended and Restated 2004 Omnibus Incentive Plan of Genesee & Wyoming Inc. (the "Company"). The shares subject to the restricted stock award will vest at the next annual meeting of the Company.

SEC source: 0001209191-18-031719 · doc4.xml · nonDerivative · entry 2

Bott Richard Harold · CIK 0001559364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 789

SEC source: 0001209191-18-031719 · doc4.xml · nonDerivative · entry 1

Bott Richard Harold · CIK 0001559364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,852

F1 · kind: Grant of unrestricted common stock under the Lear Corporation 2009 Long-Term Stock Incentive Plan and exempt under Rule 16b-3 of the Securities Exchange Act of 1934.

SEC source: 0001209191-18-027310 · doc4.xml · derivative · entry 2

Bott Richard Harold · CIK 0001559364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,394

Underlying: Common Stock · 1,063 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each deferred stock unit is equal in value to one share of Lear Corporation common stock.

F3 · derivative.exercise_date: The deferred stock units were accrued under the Lear Corporation Outside Directors Compensation Plan pursuant to a deferral election and are generally to be paid out in shares of Lear Corporation common stock pursuant to the Reporting Person's deferral election.

F3 · derivative.expiration_date: The deferred stock units were accrued under the Lear Corporation Outside Directors Compensation Plan pursuant to a deferral election and are generally to be paid out in shares of Lear Corporation common stock pursuant to the Reporting Person's deferral election.

SEC source: 0001209191-18-027310 · doc4.xml · nonDerivative · entry 1

Bott Richard Harold · CIK 0001559364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,063

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Conversion of deferred stock units accrued under the Lear Corporation Outside Directors Compensation Plan into shares of Lear Corporation common stock pursuant to the Reporting Person's deferral election.

SEC source: 0001209191-18-023029 · doc4.xml · nonDerivative · entry 1

Bott Richard Harold · CIK 0001559364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,786

F1 · shares: These are deferred stock units acquired pursuant to the deferred stock arrangements for non-employee directors in accordance with the terms of the Third Amended and Restated 2004 Omnibus Incentive Plan ("Omnibus Plan") of Genesee & Wyoming Inc. (the "Company"). The deferred stock units are converted into shares of the Company's Class A Common Stock on a one-for-one basis upon distribution. Distribution of shares of Class A Common Stock occurs the first day of the calendar month after a director's service on the Company's Board of Directors terminates or upon another date or dates designated by the director pursuant to the Omnibus Plan.

SEC source: 0001209191-18-000828 · doc4.xml · nonDerivative · entry 1

Bott Richard Harold · CIK 0001559364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,443

F1 · shares: These are deferred stock units acquired pursuant to the deferred stock arrangements for non-employee directors in accordance with the terms of the Third Amended and Restated 2004 Omnibus Incentive Plan ("Omnibus Plan") of Genesee & Wyoming Inc. (the "Company"). The deferred stock units are converted into shares of the Company's Class A Common Stock on a one-for-one basis upon distribution. Distribution of shares of Class A Common Stock occurs the first day of the calendar month after a director's service on the Company's Board of Directors terminates or upon another date or dates designated by the director pursuant to the Omnibus Plan.

SEC source: 0001209191-17-055070 · doc4.xml · nonDerivative · entry 1

Bott Richard Harold · CIK 0001559364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,027

F1 · shares: These are deferred stock units acquired pursuant to the deferred stock arrangements for non-employee directors in accordance with the terms of the Third Amended and Restated 2004 Omnibus Incentive Plan ("Omnibus Plan") of Genesee & Wyoming Inc. (the "Company"). The deferred stock units are converted into shares of the Company's Class A Common Stock on a one-for-one basis upon distribution. Distribution of shares of Class A Common Stock occurs the first day of the calendar month after a director's service on the Company's Board of Directors terminates or upon another date or dates designated by the director pursuant to the Omnibus Plan.

SEC source: 0001209191-17-043288 · doc4.xml · nonDerivative · entry 1

Bott Richard Harold · CIK 0001559364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,734

F1 · shares: These are deferred stock units acquired pursuant to the deferred stock arrangements for non-employee directors in accordance with the terms of the Third Amended and Restated 2004 Omnibus Incentive Plan ("Omnibus Plan") of Genesee & Wyoming Inc. (the "Company"). The deferred stock units are converted into shares of the Company's Class A Common Stock on a one-for-one basis upon distribution. Distribution of shares of Class A Common Stock occurs the first day of the calendar month after a director's service on the Company's Board of Directors terminates or upon another date or dates designated by the director pursuant to the Omnibus Plan.

SEC source: 0001209191-17-035359 · doc4.xml · nonDerivative · entry 1

Bott Richard Harold · CIK 0001559364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,380

F1 · shares: This restricted stock award was granted under the Third Amended and Restated 2004 Omnibus Incentive Plan of Genesee & Wyoming Inc. (the "Company"). The shares subject to the restricted stock award will vest in two equal installments on the dates of the next two annual meetings of the Company.

SEC source: 0001209191-17-034109 · doc4.xml · derivative · entry 1

Bott Richard Harold · CIK 0001559364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,457

Underlying: Common Stock · 1,063 shares

Expires not disclosed

F1 · derivative.exercise_price: Each stock unit is equal in value to one share of Lear Corporation common stock

F2 · derivative.exercise_date: The deferred stock units were accrued under the Lear Corporation Outside Directors Compensation Plan pursuant to a deferral election (with respect to the director's unrestricted stock grant) and are generally to be paid out in shares of Lear Corporation common stock following the earlier of either Mr. Bott's retirement as a director of Lear Corporation, May 1, 2018 or a change in control of Lear Corporation.

F2 · derivative.expiration_date: The deferred stock units were accrued under the Lear Corporation Outside Directors Compensation Plan pursuant to a deferral election (with respect to the director's unrestricted stock grant) and are generally to be paid out in shares of Lear Corporation common stock following the earlier of either Mr. Bott's retirement as a director of Lear Corporation, May 1, 2018 or a change in control of Lear Corporation.

SEC source: 0001209191-17-024730 · doc4.xml · nonDerivative · entry 1

Bott Richard Harold · CIK 0001559364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,991

F1 · shares: These are deferred stock units acquired pursuant to the deferred stock arrangements for non-employee directors in accordance with the terms of the Third Amended and Restated 2004 Omnibus Incentive Plan ("Omnibus Plan") of Genesee & Wyoming Inc. (the "Company"). The deferred stock units are converted into shares of the Company's Class A Common Stock on a one-for-one basis upon distribution. Distribution of shares of Class A Common Stock occurs the first day of the calendar month after a director's service on the Company's Board of Directors terminates or upon another date or dates designated by the director pursuant to the Omnibus Plan.

SEC source: 0001209191-17-000861 · doc4.xml · nonDerivative · entry 1

Bott Richard Harold · CIK 0001559364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,638

F1 · shares: These are deferred stock units acquired pursuant to the deferred stock arrangements for non-employee directors in accordance with the terms of the Third Amended and Restated 2004 Omnibus Incentive Plan ("Omnibus Plan") of Genesee & Wyoming Inc. (the "Company"). The deferred stock units are converted into shares of the Company's Class A Common Stock on a one-for-one basis upon distribution. Distribution of shares of Class A Common Stock occurs the first day of the calendar month after a director's service on the Company's Board of Directors terminates or upon another date or dates designated by the director pursuant to the Omnibus Plan.

SEC source: 0001209191-16-155592 · doc4.xml · nonDerivative · entry 1

Bott Richard Harold · CIK 0001559364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001209191-16-144484 · doc4.xml · nonDerivative · entry 1

Bott Richard Harold · CIK 0001559364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,257

F1 · shares: These are deferred stock units acquired pursuant to the deferred stock arrangements for non-employee directors in accordance with the terms of the Third Amended and Restated 2004 Omnibus Incentive Plan ("Omnibus Plan") of Genesee & Wyoming Inc. (the "Company"). The deferred stock units are converted into shares of the Company's Class A Common Stock on a one-for-one basis upon distribution. Distribution of shares of Class A Common Stock occurs the first day of the calendar month after a director's service on the Company's Board of Directors terminates or upon another date or dates designated by the director pursuant to the Omnibus Plan.