Filing Details

Accession Number:
0000054480-13-000112
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-05-07 16:32:38
Reporting Period:
2013-05-06
Filing Date:
2013-05-07
Accepted Time:
2013-05-07 16:32:38
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
1454127 E John Derry Kansas City Southern
Po Box 219335
Kansas City MO 64121-9335
Sr. Vp - Human Resources 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 2013-05-06 6,737 $109.14 6,311 No 4 S Direct
Common Stock Disposition 2013-05-07 1,093 $109.66 5,218 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 S Direct
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) $39.53 2013-03-28 2018-03-27 200 200 Direct
Common Stock LSAR $39.53 200 200 Direct
Common Stock Employee Stock Option (Right to Buy) $35.41 2013-03-01 2020-02-29 3,800 3,800 Direct
Common Stock Employee Stock Option (Right to Buy) $52.62 2021-02-22 1,570 1,570 Direct
Common Stock Employee Stock Option (Right to Buy) $66.99 2022-02-21 1,167 1,167 Direct
Common Stock Employee Stock Option (Right to Buy) $97.77 2023-02-20 955 955 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2018-03-27 200 200 Direct
200 200 Direct
2020-02-29 3,800 3,800 Direct
2021-02-22 1,570 1,570 Direct
2022-02-21 1,167 1,167 Direct
2023-02-20 955 955 Direct
Footnotes
  1. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $109.092 to $109.21, 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.
  2. 834 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 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.
  3. 804 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.
  4. 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.
  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 1,267 of these options became exercisable on November 19, 2010. The second target was met and 1,267 of these options became exercisable on December 8, 2010. The third target was met and 1,266 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.