Filing Details
- Accession Number:
- 0000054480-14-000134
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-10-29 17:10:46
- Reporting Period:
- 2014-10-28
- Filing Date:
- 2014-10-29
- Accepted Time:
- 2014-10-29 17:10:46
- 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 |
|---|---|---|---|---|---|---|---|
| 1382924 | J William Wochner | Kansas City Southern Po Box 219335 Kansas City MO 64121-9335 | Sr Vp & Chief Legal Officer | 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 | Acquisiton | 2014-10-28 | 20,000 | $34.11 | 79,526 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-10-28 | 20,000 | $121.40 | 59,526 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
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 | 2014-10-28 | 20,000 | $0.00 | 20,000 | $34.11 |
| Common Stock | LSAR | Disposition | 2014-10-28 | 20,000 | $0.00 | 20,000 | $34.11 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 2,500 | 2012-02-23 | 2017-02-22 | No | 4 | M | Direct |
| 2,500 | No | 4 | J | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 17,580 | 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 | 6,800 | 6,800 | Direct |
| Common Stock | Employee Stock Option (Right to Buy) | $52.62 | 2021-02-22 | 2,830 | 2,830 | Direct | |
| Common Stock | Employee Stock Option (Right to Buy) | $66.99 | 2022-02-21 | 2,037 | 2,037 | Direct | |
| Common Stock | Employee Stock Option (Right to Buy) | $97.77 | 2023-02-20 | 1,618 | 1,618 | Direct | |
| Common Stock | Employee Stock Option (Right to Buy) | $94.23 | 2024-02-19 | 1,720 | 1,720 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2020-02-29 | 6,800 | 6,800 | Direct |
| 2021-02-22 | 2,830 | 2,830 | Direct |
| 2022-02-21 | 2,037 | 2,037 | Direct |
| 2023-02-20 | 1,618 | 1,618 | Direct |
| 2024-02-19 | 1,720 | 1,720 | Direct |
Footnotes
- Includes 87 shares acquired on June 30, 2014 through the KCS Employee Stock Purchase Plan.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $121.40 to $121.46, 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.
- Includes 124.108 shares acquired under the KCS 401(k) and Profit Sharing Plan since the date of the reporting person's last ownership report.
- Options exercised in rule 16b-3 exempt transaction. LSARs canceled with respect to such shares.
- 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.
- 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 2,267 of these options became exercisable on November 19, 2010. The second target was met and 2,267 of these options became exercisable on December 8, 2010. The third target was met and 2,266 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.
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