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CUSIP No. 371559 10 5 (Page 1 of 10 Pages)
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
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SCHEDULE 13G
(RULE 13D-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULES 13D-1(B) AND (C) AND AMENDMENTS THERETO FILED
PURSUANT TO 13D-2(B)
(AMENDMENT NO. 1)
Genesee & Wyoming Inc.
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(Name of Issuer)
Class A Common Stock, $.01 par value
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(Title of Class of Securities)
371559 10 5
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(CUSIP Number)
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CUSIP No. 371559 10 5 (Page 2 of 10 Pages)
13G
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1 Names of Reporting Persons
I.R.S. Identification No. of Above Persons (Entities Only)
MORTIMER B. FULLER, III (INDIVIDUALLY, AS TRUSTEE OR CO-TRUSTEE AND AS
SOLE GENERAL PARTNER)
FRANCES A. FULLER (AS CO-TRUSTEE)
OVERLOOK ESTATE FOUNDATION, INC.
(SEE ITEM 2(A) FOR DESCRIPTION OF SUCH TRUSTEE, CO-TRUSTEE AND SOLE
GENERAL PARTNER CAPACITIES)
2 Check the Appropriate Box if a Member of a Group* (a) [X]
(b) [ ]
3 SEC Use Only
4 Citizenship or Place of Organization
MORTIMER B. FULLER, III AND FRANCES A. FULLER ARE UNITED STATES
CITIZENS;
OVERLOOK ESTATE FOUNDATION, INC. IS A DELAWARE NOT-FOR-PROFIT MEMBERSHIP
CORPORATION
5 Sole Voting Power:
MORTIMER B. FULLER, III - 876,321
Number of FRANCES A. FULLER - 0
Shares OVERLOOK ESTATE FOUNDATION, INC. - 21,498
Beneficially
Owned by 6 Shared Voting Power:
Each MORTIMER B. FULLER, III - 0
Reporting FRANCES A. FULLER - 0
Person with OVERLOOK ESTATE FOUNDATION, INC. - 0
7 Sole Dispositive Power:
MORTIMER B. FULLER, III - 499,107
FRANCES A. FULLER - 0
OVERLOOK ESTATE FOUNDATION, INC. - 21,498
8 Shared Dispositive Power:
MORTIMER B. FULLER, III - 377,214
FRANCES A. FULLER - 377,214
OVERLOOK ESTATE FOUNDATION, INC. - 0
9 Aggregate Amount Beneficially Owned by Each Reporting Person
927,587
(SEE ITEM 4 FOR DISCLAIMER OF BENEFICIAL OWNERSHIP)
10 Check Box if the Aggregate Amount in Row (9) Excludes Certain
Shares* [ ]
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CUSIP No. 371559 10 5 (Page 3 of 10 Pages)
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11 Percent of Class Represented by Amount in Row (9)
17.6%
12 Type of Reporting Person*
00 (A GROUP)
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
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CUSIP No. 371559 10 5 (Page 4 of 10 Pages)
ITEM 1(a). NAME OF ISSUER:
Genesee & Wyoming Inc.
ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
71 Lewis Street
Greenwich, Connecticut 06830
ITEM 2(a). NAMES OF PERSONS FILING:
Mortimer B. Fuller, III
Mortimer B. Fuller, III and Frances A. Fuller, as Co-Trustees of
the Residuary Trust u/w of Mortimer B. Fuller, Jr.
Mortimer B. Fuller, III, as Trustee of the Frances A. Fuller
Family Trust
Mortimer B. Fuller, III, as sole General Partner of Fuller/
Overlook Limited Partnership
Overlook Estate Foundation, Inc., a Delaware not-for-profit
membership corporation (Mortimer B. Fuller, III, President)
ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE, OR, IF NONE, RESIDENCE:
For all members of group:
c/o Genesee & Wyoming Inc.
71 Lewis Street
Greenwich, Connecticut 06830
ITEM 2(c). CITIZENSHIP:
Mortimer B. Fuller, III and Frances A. Fuller are United States
citizens; Overlook Estate Foundation, Inc. is a Delaware not-
for-profit membership corporation.
ITEM 2(d). TITLE OF CLASS OF SECURITIES:
Class A Common Stock
ITEM 2(e) CUSIP NUMBER:
371559 10 5
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CUSIP No. 371559 10 5 (Page 5 of 10 Pages)
ITEM 3. STATEMENTS FILED PURSUANT TO RULES 13D-1(B) OR 13D-2(B):
Not Applicable
ITEM 4. OWNERSHIP.
(a) Amount Beneficially Owned: 927,587 shares (see Exhibit 1)
(b) Percent of Class: 17.6%
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote:
Mortimer B. Fuller, III (individually, as Trustee or
Co-Trustee and as sole General Partner) - 876,321
Frances A. Fuller (in any capacity) - 0
Overlook Estate Foundation, Inc. - 21,498
(ii) shared power to vote or to direct the vote:
Mortimer B. Fuller, III (in any capacity) - 0
Frances A. Fuller (in any capacity) - 0
Overlook Estate Foundation, Inc. - 0
(iii) sole power to dispose or to direct the disposition of:
Mortimer B. Fuller, III (individually, as Trustee
and as sole General Partner) - 499,107
Frances A. Fuller (in any capacity) - 0
Overlook Estate Foundation, Inc. - 21,498
(iv) shared power to dispose or to direct the disposition of:
Mortimer B. Fuller, III (as Co-Trustee) - 377,214
Frances A. Fuller (as Co-Trustee) - 377,214
Overlook Estate Foundation, Inc. - 0
Pursuant to Rule 13d-4, each member of the group expressly declares
that the filing of this Schedule 13G shall not be construed as an
admission that such member is, for purposes of Section 13(d) or 13(g)
of the Securities Exchange Act of 1934, the beneficial owner of shares
owned by the other members of the group, except for shares as to which
members of the group are Co-Trustees.
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CUSIP No. 371559 10 5 (Page 6 of 10 Pages)
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
Not Applicable
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.
Not Applicable
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE
SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY.
Not Applicable
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP.
See Exhibit 1
ITEM 9. NOTICE OF DISSOLUTION OF GROUP.
Not Applicable
ITEM 10. CERTIFICATION.
Not Applicable
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CUSIP No. 371559 10 5 (Page 7 of 10 Pages)
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
Dated: February 12, 1998 /s/ Mortimer B. Fuller, III
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Mortimer B. Fuller, III
Dated: February 12, 1998 /s/ Mortimer B. Fuller, III, Co-Trustee
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Mortimer B. Fuller, III, as Co-Trustee of the
Residuary Trust u/w of Mortimer B. Fuller, Jr.
Dated: February 12, 1998 * Frances A. Fuller, Co-Trustee
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Frances A. Fuller, as Co-Trustee of the Residuary
Trust u/w of Mortimer B. Fuller, Jr.
Dated: February 12, 1998 /s/ Mortimer B. Fuller, III, Trustee
------------------------------------
Mortimer B. Fuller, III, as Trustee of the Frances
A. Fuller Family Trust
Fuller/Overlook Limited Partnership
Dated: February 12, 1998 By: /s/ Mortimer B. Fuller, III, General Partner
---------------------------------------------
Mortimer B. Fuller, III, Sole General Partner
Overlook Estate Foundation, Inc.
Dated: February 12, 1998 By: /s/ Mortimer B. Fuller, III, President
---------------------------------------
Mortimer B. Fuller, III, President
Dated: February 12, 1998 *By: /s/ Mortimer B. Fuller, III
----------------------------
Mortimer B. Fuller, III, Attorney-in-Fact
*Power of Attorney previously filed and incorporated herein by reference to
Exhibit 3 to Schedule 13G filed February 12, 1997.
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CUSIP No. 371559 10 5 (Page 8 of 10 Pages)
EXHIBIT 1
This Schedule 13G is being filed by a group pursuant to Rule 13d-5(b)(1).
The members of the group are as follows: Mortimer B. Fuller, III; Mortimer B.
Fuller, III and Frances A. Fuller, as Co-Trustees of the Residuary Trust u/w of
Mortimer B. Fuller, Jr.; Mortimer B. Fuller, III, as Trustee of the Frances A.
Fuller Family Trust; Mortimer B. Fuller, III, as sole General Partner of
Fuller/Overlook Limited Partnership; and Overlook Estate Foundation, Inc.
(Mortimer B. Fuller, III, President).
Mortimer B. Fuller, III and Frances A. Fuller, as Co-Trustees of the
Residuary Trust u/w of Mortimer B. Fuller, Jr. are parties to a Voting Agreement
and Stock Purchase Option dated March 21, 1980, as amended as of March 29, 1996
(the "Voting Agreement"), pursuant to which Mortimer B. Fuller, III has been
granted an irrevocable proxy to vote all shares of the Issuer owned by the such
members of the group. The Voting Agreement terminates by its terms, and the
group may dissolve, upon (i) the incompetency, disability or death of Mortimer
B. Fuller, III, (ii) the written agreement of all of the parties to the Voting
Agreement, or (iii) expiration of the term of the Voting Agreement on March 20,
2008 and the failure of the parties to renew it for an additional term.
The shares of the Issuer's Class A Common Stock reported in this Schedule
13G consist of: (a) shares of Class A Common Stock directly owned by the
members of the group in the various capacities indicated (including shares
issuable under presently exercisable options and Mortimer B. Fuller, III's
proportional interest in shares held by The Fuller Investment Partnership, L.P.)
(see table below); and (b) shares of the Issuer's Class B Common Stock, par
value $.01 per share, directly owned by such members in the various capacities
indicated. The Issuer's Class B Common Stock, which is not registered pursuant
to Section 12 of the Securities Exchange Act of 1934, as amended, has ten votes
per share (as compared with the Class A Common Stock, which has one vote per
share), and is freely convertible into an equal number of shares of Class A
Common Stock.
The beneficial ownership of the Issuer's Class A Common Stock and Class B
Common Stock by each member of the group as of December 31, 1997 is as follows:
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CUSIP No. 371559 10 5 (Page 9 of 10 Pages)
Class A Com Class B Com
mon Stock mon Stock
Directly Directly
Member of Group Owned Owned TOTAL
Mortimer B. Fuller, III, individually 79,749* 276,093 355,842
Mortimer B. Fuller, III and Frances A. 78,607 298,607 377,214
Fuller, as Co-Trustees of the Residuary
Trust u/w of Mortimer B. Fuller, Jr.
Mortimer B. Fuller, III, as Trustee of 31,450 0 31,450
the Frances A. Fuller Family Trust
Mortimer B. Fuller, III, as sole
General Partner of Fuller/Overlook
Limited Partnership 58,000 83,583 141,583
Overlook Estate Foundation, Inc. 21,498 0 21,498
(Mortimer Fuller, III, President)
TOTAL 269,304 658,283 927,587
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* Includes (i) Mr. Fuller's proportional interest in 29,768 shares held by The
Fuller Investment Partnership, L.P., and (ii) 22,500 shares exercisable under
presently exercisable options.
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CUSIP No. 371559 10 5 (Page 10 of 10 Pages)
EXHIBIT 2
AGREEMENT
The undersigned agree that this Schedule 13G under the Securities Exchange
Act of 1934, as amended, relating to shares of the Class A Common Stock of
Genesee & Wyoming Inc., to which this Agreement is an Exhibit and which is to be
filed with the Securities and Exchange Commission on or before February 14,
1998, is filed on behalf of each of the undersigned.
Dated: February 12, 1998 /s/ Mortimer B. Fuller, III
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Mortimer B. Fuller, III
Dated: February 12, 1998 /s/ Mortimer B. Fuller, III, Co-Trustee
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Mortimer B. Fuller, III, as Co-Trustee of the
Residuary Trust u/w of Mortimer B. Fuller, Jr.
Dated: February 12, 1998 * Frances A. Fuller, Co-Trustee
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Frances A. Fuller, as Co-Trustee of the Residuary
Trust u/w of Mortimer B. Fuller, Jr.
Dated: February 12, 1998 /s/ Mortimer B. Fuller, III, Trustee
------------------------------------
Mortimer B. Fuller, III, as Trustee of the Frances
A. Fuller Family Trust
Fuller/Overlook Limited Partnership
Dated: February 12, 1998 By: /s/ Mortimer B. Fuller, III, General Partner
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Mortimer B. Fuller, III, Sole General Partner
Overlook Estate Foundation, Inc.
Dated: February 12, 1998 By: /s/ Mortimer B. Fuller, III, President
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Mortimer B. Fuller, III, President
Dated: February 12, 1998 *By: /s/ Mortimer B. Fuller, III
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Mortimer B. Fuller, III, Attorney-in-Fact
*Power of Attorney previously filed and incorporated herein by reference to
Exhibit 3 to Schedule 13G filed February 12, 1997.
