Filing Details
- Accession Number:
- 0000054480-12-000112
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-07-30 12:34:09
- Reporting Period:
- 2012-07-27
- Filing Date:
- 2012-07-30
- Accepted Time:
- 2012-07-30 11:34:09
- 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 |
|---|---|---|---|---|---|---|---|
| 1512280 | R David Ebbrecht | Kansas City Southern Po Box 219335 Kansas City MO 64121 | 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 | Acquisiton | 2012-07-27 | 3,800 | $35.41 | 26,783 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-07-27 | 400 | $74.86 | 26,383 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2012-07-27 | 3,400 | $74.87 | 22,983 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | 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 | 2012-07-27 | 1,267 | $0.00 | 1,267 | $35.41 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2012-07-27 | 1,267 | $0.00 | 1,267 | $35.41 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2012-07-27 | 1,266 | $0.00 | 1,266 | $35.41 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2010-11-19 | 2020-02-29 | No | 4 | M | Direct |
| 0 | 2010-12-08 | 2020-02-29 | No | 4 | M | Direct |
| 0 | 2011-01-07 | 2020-02-29 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 11 | Indirect | By 401(k) & Profit Sharing 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) | $52.62 | 2021-02-22 | 3,320 | 3,320 | Direct | |
| Common Stock | Employee Stock Option (Right to Buy) | $66.99 | 2022-02-21 | 3,362 | 3,362 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2021-02-22 | 3,320 | 3,320 | Direct |
| 2022-02-21 | 3,362 | 3,362 | Direct |
Footnotes
- 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 contingent upon continued employment by the reporting person through that date. 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.
- Options exercised in rule 16b-3 exempt transaction.
- 1,660 of these options become exercisable on February 23, 2013 and 1,660 of these options become exercisable on February 23, 2014.
- These options become exercisable in three equal installments beginning on the first anniversary of the date of grant.
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