Filing Details
- Accession Number:
- 0000054480-20-000241
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-11-19 17:07:19
- Reporting Period:
- 2020-11-18
- Accepted Time:
- 2020-11-19 17:07:19
- 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 |
|---|---|---|---|---|---|---|---|
| 1490357 | J. Michael Naatz | Kansas City Southern Po Box 219335 Kansas City MO 64121-9335 | Evp & Chief Marketing 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 | 2020-11-18 | 1,649 | $119.35 | 14,316 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-11-18 | 1,206 | $86.89 | 15,522 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-11-18 | 2,855 | $189.14 | 12,667 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-11-18 | 2,500 | $189.35 | 10,167 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| 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 | 2020-11-18 | 1,649 | $0.00 | 1,649 | $119.35 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2020-11-18 | 1,206 | $0.00 | 1,206 | $86.89 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2025-02-17 | No | 4 | M | Direct | |
| 0 | 2020-02-17 | 2027-02-16 | No | 4 | M | 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) | $105.83 | 2028-03-05 | 3,945 | 3,945 | Direct | |
| Common Stock | Employee Stock Option (Right to Buy) | $110.13 | 2029-03-04 | 6,256 | 6,256 | Direct | |
| Common Stock | Employee Stock Option (Right to Buy) | $171.86 | 2030-02-06 | 5,727 | 5,727 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2028-03-05 | 3,945 | 3,945 | Direct |
| 2029-03-04 | 6,256 | 6,256 | Direct |
| 2030-02-06 | 5,727 | 5,727 | Direct |
Footnotes
- Includes 160 shares acquired under the KCS Employee Stock Purchase Plan on June 30, 2020.
- The price in Column 4 is a weighted average price. The prices actually received ranged from $189.08 to $189.24. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
- The price in Column 4 is a weighted average price. The prices actually received ranged from $189.33 to $189.51. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
- These options become exercisable in three equal installments beginning on the first anniversary of the date of grant.
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