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
- 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.
- 2,541 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.
- Includes 124 shares acquired on June 28, 2013 through the KCS Employee Stock Purchase Plan.
- 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.
- 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.
- These options become exercisable in three equal installments beginning on the first anniversary of the date of grant.