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CUSIP No. 371559 10 5 (Page 1 of 8 Pages)
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Schedule 13G
Under the Securities Exchange Act of 1934
(Amendment No. 3)
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)
Check the appropriate box to designate the rule pursuant to which this
Schedule is filed:
[ ] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[X] Rule 13d-1(d)
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CUSIP No. 371559 10 5 (Page 2 of 8 Pages)
1 Names of Reporting Persons
I.R.S. Identification Nos. of Above Persons (Entities Only)
Mortimer B.Fuller, III(individually, as Trustee, and as Co-Executor)
Overlook Estate Foundation, Inc.(Mortimer B.Fuller, III, President)
(See Item 2(a) for a description of Mr.Fuller's Trustee and
Co-Executor capacities)
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2 Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [X]
(b) [ ]
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3 SEC Use Only
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4 Citizenship or Place of Organization
Mortimer B.Fuller, III is a United States citizen;
Overlook Estate Foundation, Inc. is a Delaware not-for-profit
membership corporation.
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5 Sole Voting Power:
Mortimer B. Fuller, III - 948,871
Number of Overlook Estate Foundation, Inc. - 21,498
Shares ----------------------------------------------------------
Beneficially 6 Shared Voting Power:
Owned by Mortimer B. Fuller, III - 0
Each Overlook Estate Foundation, Inc. - 0
Reporting ----------------------------------------------------------
Person with 7 Sole Dispositive Power:
Mortimer B. Fuller, III - 808,700
Overlook Estate Foundation, Inc. - 21,498
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8 Shared Dispositive Power:
Mortimer B. Fuller, III - 0
Overlook Estate Foundation, Inc. - 0
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9 Aggregate Amount Beneficially Owned by Each Reporting Person
Mortimer B.Fuller, III - 948,871
Overlook Estate Foundation, Inc. - 21,498
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10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions)[ ]
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11 Percent of Class Represented by Amount in Row (9)
20.4%
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12 Type of Reporting Person (See Instructions)
00 (a Group)
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CUSIP No. 371559 10 5 (Page 3 of 8 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, individually, as Trustee of the Residuary
Trust u/w of Mortimer B. Fuller, Jr., as Trustee of the Frances A.
Fuller Family Trust, and as Co-Executor of the Estate of Frances A.
Fuller
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 is a United States citizen;
Overlook Estate Foundation, Inc. is a Delaware not-for-profit
membership corporation.
Item 2(d). Title of Class of Securities:
Class A Common Stock, $.01 par value
Item 2(e). CUSIP Number:
371559 10 5
Item 3. Statements Filed Pursuant to Rules 13d-1(b) or 13d-2(b) or (c):
Not Applicable
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CUSIP No. 371559 10 5 (Page 4 of 8 Pages)
<TABLE>
<CAPTION>
Item 4. Ownership.
<S> <C>
(a) Amount Beneficially Owned: 970,369 shares (including shares of
the Issuer's Class B Common Stock)(see Exhibit 1)
(b) Percent of Class: 20.4%
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote:
Mortimer B. Fuller, III - 948,871
Overlook Estate Foundation, Inc. - 21,498
(ii) shared power to vote or to direct the vote:
Mortimer B. Fuller, III (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, and as Trustee) - 808,700
Overlook Estate Foundation, Inc. - 21,498
(iv) shared power to dispose or to direct the disposition of:
Mortimer B. Fuller, III (in any capacity) - 0
Overlook Estate Foundation, Inc. - 0
</TABLE>
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.
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
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CUSIP No. 371559 10 5 (Page 5 of 8 Pages)
Item 7. Identification and Classification of the Subsidiary Which Acquired
the Security Being Reported on by the Parent Holding Company or
Control Person.
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 6 of 8 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 9, 2000 /s/ Mortimer B. Fuller, III
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Mortimer B. Fuller, III
Dated: February 9, 2000 /s/ Mortimer B. Fuller, III
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Mortimer B. Fuller, III, as Trustee of the
Residuary Trust u/w of Mortimer B. Fuller, Jr.
Dated: February 9, 2000 /s/ Mortimer B. Fuller, III
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Mortimer B. Fuller, III, as Trustee of the
Frances A. Fuller Family Trust
Dated: February 9, 2000 /s/ Mortimer B. Fuller, III
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Mortimer B. Fuller, III, as Co-Executor of the
Estate of Frances A. Fuller
Overlook Estate Foundation, Inc.
Dated: February 9, 2000 By: /s/ Mortimer B. Fuller, III
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Mortimer B. Fuller, III, President
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CUSIP No. 371559 10 5 (Page 7 of 8 Pages)
Exhibit 1
This Amendment to 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,
individually, as Trustee of the Residuary Trust u/w of Mortimer B. Fuller, Jr.,
as Trustee of the Frances A. Fuller Family Trust, and as Co-Executor of the
Estate of Frances Fuller; and Overlook Estate Foundation, Inc. (Mortimer B.
Fuller, III, President).
Mr. Fuller holds an irrevocable proxy, expiring in 2008, to vote all of the
shares held by the Residuary Trust u/w of Mortimer B. Fuller, Jr. and by the
Estate of Frances A. Fuller.
The shares of the Issuer's Class A Common Stock, par value $.01 per share,
reported in this Amendment to Schedule 13G consist of: (a) shares of Class A
Common Stock beneficially owned by the members of the group in the various
capacities indicated (including shares issuable under presently exercisable
options held by Mortimer B. Fuller, III) (see table below); and (b) shares of
the Issuer's Class B Common Stock, par value $.01 per share, beneficially 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, 1999 is as follows:
<TABLE>
<CAPTION>
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Class A Class B
Common Stock Common Stock
Beneficially Beneficially
Member of Group Owned Owned TOTAL
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<S> <C> <C> <C>
Mortimer B. Fuller, III, individually *126,231 277,505 *403,736
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Mortimer B. Fuller, III, as Trustee of 78,607 298,607 377,214
the Residuary Trust u/w of Mortimer B.
Fuller, Jr.
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Mortimer B. Fuller, III, as Trustee of 27,750 0 27,750
the Frances A. Fuller Family Trust
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Mortimer B. Fuller, III, as Co-Executor
of the Estate of Frances A. Fuller 58,000 82,171 140,171
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Overlook Estate Foundation, Inc. 21,498 0 21,498
(Mortimer B. Fuller, III, President)
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TOTAL 312,086 658,283 970,369
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</TABLE>
* Includes 98,750 shares issuable under presently exercisable options.
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CUSIP No. 371559 10 5 (Page 8 of 8 Pages)
Exhibit 2
AGREEMENT
The undersigned agree that this Amendment to 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, is filed
on behalf of each of the undersigned.
Dated: February 9, 2000 /s/ Mortimer B. Fuller, III
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Mortimer B. Fuller, III
Dated: February 9, 2000 /s/ Mortimer B. Fuller, III
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Mortimer B. Fuller, III, as Trustee of the
Residuary Trust u/w of Mortimer B. Fuller, Jr.
Dated: February 9, 2000 /s/ Mortimer B. Fuller, III
--------------------------------------------
Mortimer B. Fuller, III, as Trustee of the
Frances A. Fuller Family Trust
Dated: February 9, 2000 /s/ Mortimer B. Fuller, III
--------------------------------------------
Mortimer B. Fuller, III, as Co-Executor of the
Estate of Frances A. Fuller
Overlook Estate Foundation, Inc.
Dated: February 9, 2000 By: /s/ Mortimer B. Fuller, III
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Mortimer B. Fuller, III, President
