Filing Details
- Accession Number:
- 0000054480-15-000050
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-03-02 18:36:29
- Reporting Period:
- 2015-02-27
- Filing Date:
- 2015-03-02
- Accepted Time:
- 2015-03-02 18:36:29
- 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 |
|---|---|---|---|---|---|---|---|
| 1224434 | R Michael Haverty | Kansas City Southern Po Box 219335 Kansas City MO 64121-9335 | Yes | No | 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 | 2015-02-27 | 1,918 | $117.08 | 764,676 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2015-02-27 | 49,200 | $35.41 | 813,876 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-02-27 | 15,700 | $52.62 | 829,576 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-02-27 | 10,611 | $66.99 | 840,187 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-02-27 | 5,462 | $97.77 | 845,649 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-02-27 | 80,973 | $116.39 | 764,676 | No | 4 | S | Direct |
| 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 |
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 | 2015-02-27 | 49,200 | $0.00 | 49,200 | $35.41 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2015-02-27 | 15,700 | $0.00 | 15,700 | $52.62 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2015-02-27 | 10,611 | $0.00 | 10,611 | $66.99 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2015-02-27 | 5,462 | $0.00 | 5,462 | $97.77 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2013-03-01 | 2020-02-29 | No | 4 | M | Direct |
| 0 | 2021-02-22 | No | 4 | M | Direct | |
| 0 | 2022-02-21 | No | 4 | M | Direct | |
| 2,731 | 2023-02-20 | No | 4 | M | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $115.8496 to $117.05, 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.
- 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 16,400 of these options became exercisable on November 19, 2010. The second target was met and 16,400 of these options became exercisable on December 8, 2010. The third target was met and 16,400 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.
- Options exercised in rule 16b-3 exempt transaction.
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