Filing Details

Accession Number:
0000054480-16-000260
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-07-21 17:38:55
Reporting Period:
2016-07-20
Filing Date:
2016-07-21
Accepted Time:
2016-07-21 17:38:55
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
1437912 L David Starling Kansas City Southern
Po Box 219335
Kansas City MO 64121-9335
Senior Advisor To The Ceo Yes 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 2016-07-20 5,100 $98.88 121,572 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
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) $51.55 2013-07-30 2018-07-29 3,880 3,880 Direct
Common Stock LSAR $51.55 3,880 3,880 Direct
Common Stock Employee Stock Option (Right to Buy) $35.41 2013-03-01 2020-02-29 20,600 20,600 Direct
Common Stock Employee Stock Option (Right to Buy) $52.62 2021-02-22 21,900 21,900 Direct
Common Stock Employee Stock Option (Right to Buy) $66.99 2022-02-21 16,447 16,447 Direct
Common Stock Employee Stock Option (Right to Buy) $97.77 2023-02-20 13,068 13,068 Direct
Common Stock Employee Stock Option (Right to Buy) $94.23 2024-02-19 13,835 13,835 Direct
Common Stock Employee Stock Option (Right to Buy) $119.35 2025-02-17 13,285 13,285 Direct
Common Stock Employee Stock Option (Right to Buy) $82.71 2026-02-18 31,680 31,680 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2018-07-29 3,880 3,880 Direct
3,880 3,880 Direct
2020-02-29 20,600 20,600 Direct
2021-02-22 21,900 21,900 Direct
2022-02-21 16,447 16,447 Direct
2023-02-20 13,068 13,068 Direct
2024-02-19 13,835 13,835 Direct
2025-02-17 13,285 13,285 Direct
2026-02-18 31,680 31,680 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 $98.77 to $98.91, 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. Includes 290 shares acquired on June 30, 2016 through the KCS Employee Stock Purchase Plan.
  3. 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.
  4. 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 6,867 of these options became exercisable on November 19, 2010. The second target was met and 6,867 of these options became exercisable on December 8, 2010. The third target was met and 6,866 of these options became exercisable on January 7, 2011.
  5. These options become exercisable in three equal installments beginning on the first anniversary of the date of grant.