SEC Form 4 · accession 0001209191-16-155240
CSX CORP · CSX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Clarence W Gooden
Officer — President
Period of report
Dec 12, 2016
Accepted (ET)
Dec 14, 2016 · 6:01 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000277948
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Dec 12, 2016 | S | 9,804 | $36.97 | D | 181,658 | I | Clarence W. Gooden, Revocable Trust |
| Common StockF2 | Dec 12, 2016 | S | 9,524 | $36.84 | D | 172,134 | I | Clarence W. Gooden, Revocable Trust |
| Common StockF2 | Dec 12, 2016 | S | 9,259 | $36.95 | D | 162,875 | I | Clarence W. Gooden, Revocable Trust |
| Common Stock | holding | — | — | — | 56,091 | D | ||
| Common StockF3 | holding | — | — | — | 373 | I | CSX Corporation 401(k) Plan | |
| Common StockF4 | holding | — | — | — | 164,274 | I | Corkie T. Gooden Revocable Trust | |
| Common StockF2 | holding | — | — | — | 55,000 | I | Clarence W. Gooden Irrevocable Trust | |
| Common StockF2 | holding | — | — | — | 118,013 | I | Clarence W. Gooden Second Irrevocable Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 8, 2016. The plan has been approved pursuant to the terms of the Issuer's policies and is part of the Reporting Person's strategy to diversify assets.
- F2By Trustee, Clarence W. Gooden.
- F3By Trustee, CSX Tax Savings Thrift Plan. The number reflects equivalent shares of cash value held in CSX Stock Fund, which amounts will fluctuate dependent upon daily net asset value of the fund.
- F4These shares are held in a Trust for the Reporting Person's spouse. The Reporting Person's spouse is the Trustee of the Trust. The Reporting Person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for the purposes of Section 16 or for any other purpose.