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GATX CORP — Director's Dealing 2018
Jan 24, 2018
30891_dirs_2018-01-24_fa50a43b-621f-4e3f-abe1-89840f6df06d.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: GATX CORP (GATX)
CIK: 0000040211
Period of Report: 2018-01-22
Reporting Person: KENNEY BRIAN A (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-01-22 | Common Stock | M | 75000 | $33.935 | Acquired | 233211 | Direct |
| 2018-01-22 | Common Stock | F | 51888 | $69.46 | Disposed | 181323 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-01-22 | Stock-Settled Stock Appreciation Right | $33.935 | M | 75000 | Disposed | 2018-01-27 | Common Stock (75000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock 401(k) | 9755 | Indirect |
Footnotes
F1: GATX Corporation's 401(k) plan is a unitized stock fund made up of company stock plus short term investments. Because the fund includes more than company stock, participants hold units of the fund rather than company shares of stock. The number of units held by a participant may vary depending on the performance of the company stock, the overall stock market, and the amount of short term investments in the fund. Such a variance has caused the value of the units in the reporting person's 401(k) fund to be reduced without any actual disposition of shares.