SEC Form 4/A · accession 0001209191-16-155623
CSX CORP · CSX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Clarence W Gooden
Officer — President
Period of report
Sep 26, 2016
Accepted (ET)
Dec 16, 2016 · 4:10 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 | Sep 26, 2016 | S | 10,345 | $29.44 | D | 172,796 | I | Clarence W. Gooden Revocable Trust |
| Common StockF2 | Sep 26, 2016 | S | 50,420 | $29.75 | D | 122,376 | I | Clarence W. Gooden Revocable Trust |
| Common StockF4 | holding | — | — | — | 56,091 | D |
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 August 23, 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.
- F3The sale of these shares was inadvertently omitted from the Reporting Person's Form 4 filed on September 28, 2016. Column 5 of this Form 4/A reflects the Reporting Person's indirect beneficial holdings through the Clarence W. Gooden Revocable Trust as of September 28, 2016.
- F4The number of shares directly held by the Reporting Person as well as the number of shares indirectly held by the Reporting Person through the Clarence W. Gooden Revocable Trust have also been updated to reflect the prior transfer of 71,863 shares from the Reporting Person's direct holdings to the Clarence W. Gooden Revocable Trust.