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Filing Details

Accession Number:: 0000054480-11-000118
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2011-08-05 16:38:03
Reporting Period:: 2011-08-04

Filing Date:: 2011-08-05
Accepted Time:: 2011-08-05 16:38:03
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
1224434	R Michael Haverty	Kansas City Southern Po Box 219335 Kansas City MO 64121-9335	Executive Chairman	Yes	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2011-08-04	5,000	$56.63	531,129	No	4	P	Direct
Common Stock	Acquisiton	2011-08-04	8,000	$56.90	539,129	No	4	P	Direct
Common Stock	Acquisiton	2011-08-04	5,000	$56.93	544,129	No	4	P	Direct
Common Stock	Acquisiton	2011-08-04	5,000	$57.00	549,129	No	4	P	Direct
Common Stock	Acquisiton	2011-08-04	5,000	$57.27	554,129	No	4	P	Direct
Common Stock	Acquisiton	2011-08-05	14,158	$51.63	568,287	No	4	J	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	J	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	20,678	Indirect	Held by 401(k) and P/S Plan
Common Stock	29,746	Indirect	Held by ESOP

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Employee Stock Option (Right to Buy)	$13.42	2002-02-06	2012-02-05	13,207	13,207	Direct
Common Stock	LSAR	$13.42			13,207	13,207	Direct
Common Stock	Employee Stock Option (Right to Buy)	$12.55	2003-01-16	2013-01-15	15,901	15,901	Direct
Common Stock	LSAR	$12.55			15,901	15,901	Direct
Common Stock	Employee Stock Option (Right to Buy)	$12.55	2008-01-16	2013-01-15	90,000	90,000	Direct
Common Stock	LSAR	$12.55			90,000	90,000	Direct
Common Stock	Employee Stock Option (Right to Buy)	$14.60	2005-01-02	2014-01-01	90,000	90,000	Direct
Common Stock	LSAR	$14.60			90,000	90,000	Direct
Common Stock	Employee Stock Option (Right to Buy)	$14.53	2004-02-09	2014-02-08	13,689	13,689	Direct
Common Stock	LSAR	$14.53			13,689	13,689	Direct
Common Stock	Employee Stock Option (Right to Buy)	$35.41	2013-03-01	2020-02-29	49,200	49,200	Direct
Common Stock	Employee Stock Option (Right to Buy)	$52.62		2021-02-22	15,700	15,700	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2012-02-05	13,207	13,207	Direct
	13,207	13,207	Direct
2013-01-15	15,901	15,901	Direct
	15,901	15,901	Direct
2013-01-15	90,000	90,000	Direct
	90,000	90,000	Direct
2014-01-01	90,000	90,000	Direct
	90,000	90,000	Direct
2014-02-08	13,689	13,689	Direct
	13,689	13,689	Direct
2020-02-29	49,200	49,200	Direct
2021-02-22	15,700	15,700	Direct

Footnotes

On August 6, 2010, Mr. Haverty's wife, Mrs. Haverty, established and contributed Kansas City Southern common stock to a grantor retained annuity trust (the "2010 GRAT"). Mr. Haverty does not have a reporting duty for the shares held in the 2010 GRAT under Section 16(a) of the Securities Exchange Act of 1934 because Mrs. Haverty is not the trustee and does not have investment control over the shares. On August 5,2011, 14,158 shares were distributed from the 2010 GRAT to Mr. and Mrs. Haverty as an annuity payment.
Includes 704.108 shares acquired under the KCS 401(k) and Profit Sharing Plan since the date of the reporting person's last ownership report.
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.
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 16,400 of these options became exercisable on November 19, 2010. The second target was met and 16,400 of these options became exercisable on December 8, 2010. The third target was met and 16,400 of these options became exercisable on January 7, 2011.
These options become exercisable in three equal installments beginning on the first anniversary of the date of grant.