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
  1. Includes 87 shares acquired on June 30, 2014 through the KCS Employee Stock Purchase Plan.
  2. 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.
  3. 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.
  4. Options exercised in rule 16b-3 exempt transaction. LSARs canceled with respect to such shares.
  5. 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.
  6. 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.
  7. These options become exercisable in three equal installments beginning on the first anniversary of the date of grant.