Filing Details

Accession Number:
0000054480-13-000161
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-11-04 16:58:52
Reporting Period:
2013-10-31
Filing Date:
2013-11-04
Accepted Time:
2013-11-04 16:58:52
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
1224125 K Warren Erdman Kansas City Southern
Po Box 219335
Kansas City MO 64121-9335
Executive Vice President 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 2013-10-31 657 $121.52 44,902 No 4 F Direct
Common Stock Disposition 2013-11-01 3,500 $122.00 41,402 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 F Direct
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 976 Indirect Held by 401(k) & P/S Plan
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
Common Stock Employee Stock Option (Right to Buy) $52.62 2021-02-22 4,980 4,980 Direct
Common Stock Employee Stock Option (Right to Buy) $66.99 2022-02-21 3,362 3,362 Direct
Common Stock Employee Stock Option (Right to Buy) $97.77 2023-02-20 2,620 2,620 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2020-02-29 11,400 11,400 Direct
2021-02-22 4,980 4,980 Direct
2022-02-21 3,362 3,362 Direct
2023-02-20 2,620 2,620 Direct
Footnotes
  1. 2,634 of these shares represent performance shares that were earned on February 21, 2013 when the KCS Compensation and Organization Committee determined that the 2012 performance goals were met. These performance shares will not vest until February 28, 2014. With respect to these shares, the reporting person does not have the right to vote, receive, or be entitled to receive, cash or non-cash dividends or any other beneficial rights as a shareholder of the Company.
  2. 2,541 of these shares represent performance shares that were earned on February 22, 2012 when the KCS Compensation and Organization Committee determined that the 2011 performance goals were met. These performance shares will not vest until February 28, 2014. With respect to these shares, the reporting person does not have the right to vote, receive, or be entitled to receive, cash or non-cash dividends or any other beneficial rights as a shareholder of the Company.
  3. Includes 124 shares acquired on June 28, 2013 through the KCS Employee Stock Purchase Plan.
  4. Includes 5.752 shares acquired under the KCS 401(k) and Profit Sharing Plan since the date of the reporting person's last ownership report.
  5. 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. The first target was met and 3,800 of these options became exercisable on November 19, 2010. The second target was met and 3,800 of these options became exercisable on December 8, 2010. The third target was met and 3,800 of these options became exercisable on January 7, 2011.
  6. These options become exercisable in three equal installments beginning on the first anniversary of the date of grant.