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OMB APPROVAL
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OMB Number: 3235-0104
Expires: December 31, 2001
Estimated average burden
hours per response........0.5
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U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 3
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility Holding Company Act of 1935 or
Section 30(f) of the Investment Company Act of 1940
________________________________________________________________________________
1. Name and Address of Reporting Person*
Brown Brothers Harriman & Co.
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(Last) (First) (Middle)
59 Wall Street
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(Street)
New York New York 10005
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(City) (State) (Zip)
________________________________________________________________________________
2. Date of Event Requiring Statement (Month/Day/Year)
12/12/00
________________________________________________________________________________
3. IRS Identification Number of Reporting Person, if an Entity (Voluntary)
________________________________________________________________________________
4. Issuer Name and Ticker or Trading Symbol
Genesee & Wyoming Inc. (GNWR)
________________________________________________________________________________
5. Relationship of Reporting Person to Issuer
(Check all applicable)
[_] Director [X] 10% Owner
[_] Officer (give title below) [_] Other (specify below)
________________________________________________________________________________
6. If Amendment, Date of Original (Month/Day/Year)
________________________________________________________________________________
7. Individual or Joint/Group Filing (Check applicable line)
[X] Form Filed by One Reporting Person
[_] Form Filed by More than One Reporting Person
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Table I -- Non-Derivative Securities Beneficially Owned
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<TABLE>
<CAPTION>
3. Ownership Form:
2. Amount of Securities Direct (D) or
1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership
(Instr. 4) (Instr. 4) (Instr. 5) (Instr. 4)
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<S> <C> <C> <C>
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</TABLE>
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
* If the Form is filed by more than one Reporting Person, see Instruction
5(b)(v).
Potential persons who are to respond to the collection of information contained
in this form are not required to respond unless the form displays a currently
valid OMB Number.
(Over)
SEC 1473(3-99)
<PAGE>
FORM 3 (continued)
Table II -- Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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<TABLE>
<CAPTION>
5. Owner-
3. Title and Amount of Securities ship
Underlying Derivative Security Form of
2. Date Exercisable (Instr. 4) Derivative
and Expiration Date --------------------------------- 4. Conver- Security:
(Month/Day/Year) Amount sion or Direct 6. Nature of
---------------------- or Exercise (D) or Indirect
Date Expira- Number Price of Indirect Beneficial
1. Title of Derivative Exer- tion of Derivative (I) Ownership
Security (Instr. 4) cisable Date Title Shares Security (Instr. 5) (Instr. 5)
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<S> <C> <C> <C> <C> <C> <C> <C>
Preferred Stock (1) (6) Immed. N/A Common Stock (2) (3) (4) I (5)
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</TABLE>
Explanation of Responses:
(1) Par value $.01 per share.
(2) 646,269 shares, subject to adjustment. Brown Brothers Harriman & Co.
("BBH") may, pursuant to Rule 13d-3 of the Securities and Exchange Act of
1934, be deemed to beneficially own 211,486 shares of Common Stock of
Genesee & Wyoming Inc. owned by Mortimer B. Fuller, III as a result of a
voting agreement. BBH disclaims beneficial ownership of such shares.
(3) BBH is the general partner of The 1818 Fund III, L.P., and, as such, its
pecuniary interest in the securities is limited to its percentage interest
in such securities.
(4) $1,000 per share of Preferred Stock divided by the Conversion Price, set at
$23, but subject to adjustment.
(5) By The 1818 Fund III, L.P.
(6) Genesee & Wyoming Inc. has the option of requiring The 1818 Fund III, L.P.
to acquire up to 15,000 additional shares of Preferred Stock at a price of
$1,000 per share. The 1818 Fund III, L.P. has the one-time option on or
before December 12, 2001, to purchase an additional 10,000 shares of
Preferred Stock at a price of $1,000 per share; PROVIDED, HOWEVER, that the
aggregate purchase price of Preferred Stock acquired by The 1818 Fund III,
L.P. shall not exceed $25,000,000. The option is subject to the fulfillment
of certain acquisition thresholds by Genesee & Wyoming Inc.
/s/ Lawrence C. Tucker December 12, 2000
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**Signature of Reporting Person Date
** Intentional misstatements or omissions of facts constitute Federal Criminal
Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed.
If space provided is insufficient, see Instruction 6 for procedure.
Potential persons who are to respond to the collection of information contained
in this form are not required to respond unless the form displays a currently
valid OMB Number.
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