SEC Form 4 · accession 0001209191-17-019013
CSX CORP · CSX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Clarence W Gooden
Officer — President
Period of report
Feb 22, 2017
Accepted (ET)
Mar 7, 2017 · 7:03 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 StockF1 | Feb 22, 2017 | A | 16,792 | $0.00 | A | 72,883 | D | |
| Common StockF2 | holding | — | — | — | 373 | I | CSX Corporation 401(k) Plan | |
| Common StockF3 | holding | — | — | — | 164,274 | I | Corkie T. Gooden Revocable Trust | |
| Common StockF4 | holding | — | — | — | 55,000 | I | Clarence W. Gooden Irrevocable Trust | |
| Common StockF4 | holding | — | — | — | 118,013 | I | Clarence W. Gooden Second Irrevocable Trust | |
| Common StockF4 | holding | — | — | — | 78,241 | I | Clarence W. Gooden, Revocable Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option | $48.39 | Feb 22, 2017 | A | 74,140 | A | Feb 22, 2020 | Feb 22, 2027 | Common Stock | 74,140 | 74,140 | D |
Explanation of responses
- F1Restricted stock units awarded pursuant to the CSX Corporation 2017 - 2019 Long-Term Incentive Plan. Although the units will be prorated through May 31, 2018, they will not vest until February 22, 2020.
- F2By 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.
- F3These 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.
- F4By Trustee, Clarence W. Gooden.