Filing Details
- Accession Number:
- 0000702165-11-000165
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-10-31 17:08:10
- Reporting Period:
- 2011-10-28
- Filing Date:
- 2011-10-31
- Accepted Time:
- 2011-10-31 17:08:10
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 702165 | Norfolk Southern Corp | NSC | Railroads, Line-Haul Operating (4011) | 521188014 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1401687 | H Deborah Butler | Three Commercial Place Norfolk VA 23510 | Exec. V.p.-Planning & Cio | 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 | 2011-10-28 | 5,300 | $34.10 | 10,887 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2011-10-28 | 4,100 | $49.43 | 14,987 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2011-10-28 | 6,500 | $49.56 | 21,487 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-10-28 | 15,900 | $74.00 | 5,587 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| 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 | Option (granted 2005) | Disposition | 2011-10-28 | 5,300 | $0.00 | 5,300 | $34.10 |
| Common Stock | Option (granted 2006) | Disposition | 2011-10-28 | 4,100 | $0.00 | 4,100 | $49.43 |
| Common Stock | Option (granted 2007) | Disposition | 2011-10-28 | 6,500 | $0.00 | 6,500 | $49.56 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2008-01-28 | 2015-01-27 | No | 4 | M | Direct |
| 0 | 2007-01-27 | 2016-01-26 | No | 4 | M | Direct |
| 0 | 2010-01-25 | 2017-01-24 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 25,000 | Indirect | By GRAT |
| Common Stock | 1,288 | Indirect | By 401(k) Plan |
Footnotes
- Excludes 25,000 shares which remain held indirectly in grantor retained annuity trusts (GRATs). previously held directly.
- Represents the approximate number of whole shares of Common Stock estimated -- on the basis of the unit accounting system used by the Plan Administrator -- as of October 28, 2011, to have been credited to the reporting person's account in the Norfolk Southern Thrift and Investment Plan (TIP), a trusteed 401(k) plan. In accordance with TIP's terms applicable to all participants, acquisitions were made at various times and at various prices.
- Reflects exercise and resulting cancellation of stock option, in a single transaction, exempt from Section 16(b). The stock option was granted under the Long-Term Incentive Plan (a Rule 16b-3 plan).
Billionaire Hedge Funds
