Filing Details
- Accession Number:
- 0000054480-10-000116
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-11-09 16:26:17
- Reporting Period:
- 2010-05-04
- Filing Date:
- 2010-11-09
- Accepted Time:
- 2010-11-09 16:26:17
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 54480 | Kansas City Southern | KSU | Railroads, Line-Haul Operating (4011) | 440663509 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1350298 | M Larry Lawrence | Kansas City Southern Po Box 219335 Kansas City MO 64121-9335 | Exec. Vp & Asst. To Chairman | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2010-05-04 | 4,345 | $40.45 | 62,090 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2010-11-05 | 15,000 | $12.58 | 77,090 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2010-11-05 | 10,000 | $15.80 | 87,090 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2010-11-05 | 15,000 | $11.20 | 102,090 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2010-11-05 | 6,000 | $14.60 | 108,090 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-11-05 | 46,000 | $46.18 | 62,090 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2010-11-05 | 3,300 | $46.12 | 58,790 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2010-11-08 | 827 | $14.53 | 59,617 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2010-11-08 | 19,000 | $19.02 | 78,617 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-11-08 | 19,827 | $46.41 | 58,790 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2010-11-05 | 10,316 | $46.19 | 0 | No | 4 | S | Indirect | by 401(k) & P/S Plan |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Indirect | by 401(k) & P/S Plan |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2010-11-05 | 15,000 | $0.00 | 15,000 | $12.58 |
| Common Stock | LSAR | Disposition | 2010-11-05 | 15,000 | $0.00 | 15,000 | $12.58 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2010-11-05 | 10,000 | $0.00 | 10,000 | $15.80 |
| Common Stock | LSAR | Disposition | 2010-11-05 | 10,000 | $0.00 | 10,000 | $15.80 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2010-11-05 | 15,000 | $0.00 | 15,000 | $11.20 |
| Common Stock | LSAR | Disposition | 2010-11-05 | 15,000 | $0.00 | 15,000 | $11.20 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2010-11-05 | 6,000 | $0.00 | 6,000 | $14.60 |
| Common Stock | LSAR | Disposition | 2010-11-05 | 6,000 | $0.00 | 6,000 | $14.60 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2010-11-08 | 827 | $0.00 | 827 | $14.53 |
| Common Stock | LSAR | Disposition | 2010-11-08 | 827 | $0.00 | 827 | $14.53 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2010-11-08 | 19,000 | $0.00 | 19,000 | $19.02 |
| Common Stock | LSAR | Disposition | 2010-11-08 | 19,000 | $0.00 | 19,000 | $19.02 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2002-11-01 | 2011-10-31 | No | 4 | M | Direct |
| 0 | No | 4 | J | Direct | ||
| 0 | 2003-05-01 | 2012-04-30 | No | 4 | M | Direct |
| 0 | No | 4 | J | Direct | ||
| 0 | 2008-04-01 | 2013-03-31 | No | 4 | M | Direct |
| 0 | No | 4 | J | Direct | ||
| 0 | 2005-01-02 | 2014-01-01 | No | 4 | M | Direct |
| 0 | No | 4 | J | Direct | ||
| 0 | 2014-02-08 | No | 4 | M | Direct | |
| 0 | No | 4 | J | Direct | ||
| 0 | 2006-05-04 | 2015-05-03 | No | 4 | M | Direct |
| 0 | No | 4 | J | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 11 | Indirect | By ESOP |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (Right to Buy) | $35.41 | 2013-03-01 | 2020-02-29 | 11,400 | 11,400 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2020-02-29 | 11,400 | 11,400 | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.00 to $46.32, inclusive. The reporting person undertakes to provide to Kansas City Southern, any security holder of Kansas City Southern, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.10 to $46.13, inclusive. The reporting person undertakes to provide to Kansas City Southern, any security holder of Kansas City Southern, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.205 to $46.65, inclusive. The reporting person undertakes to provide to Kansas City Southern, any security holder of Kansas City Southern, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.09 to $46.29, inclusive. The reporting person undertakes to provide to Kansas City Southern, any security holder of Kansas City Southern, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- Limited Stock Appreciation Rights ("LSARs") are granted in tandem with stock options. LSARs become exercisable only following a change-in-control of the Company in lieu of related options and are exercisable only for cash. LSARs terminate when the related options are exercised or terminated.
- Options exercised in rule 16b-3 exempt transaction. LSARs canceled with respect to such shares.
- These options became exercisable in installments: 165 on February 9, 2004, 165 on June 23, 2004, 166 on June 23, 2005 and 331 on June 23, 2006.
- Prior to March 1, 2013, this option may become exercisable in 1/3 increments if the daily closing price of Kansas City Southern's common stock on the New York Stock Exchange is greater than or equal to $38.95, $42.85, and $47.14, respectively, for at least 30 consecutive trading days.
Billionaire Hedge Funds
