SEC Form 4 · accession 0000054480-15-000004
KANSAS CITY SOUTHERN · KSU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael W Upchurch
Officer — EVP & Chief Financial Officer
Period of report
Dec 24, 2014
Accepted (ET)
Jan 6, 2015 · 5:20 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000054480
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 24, 2014 | G | 1,700 | $0.00 | D | 11,833 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $52.62 | holding | — | — | — | Feb 23, 2014 | Feb 22, 2021 | Common Stock | 2,316 | 2,316 | D |
| Employee Stock Option (Right to Buy)F2 | $66.99 | holding | — | — | — | — | Feb 21, 2022 | Common Stock | 3,126 | 3,126 | D |
| Employee Stock Option (Right to Buy)F3 | $97.77 | holding | — | — | — | — | Feb 20, 2023 | Common Stock | 3,666 | 3,666 | D |
| Employee Stock Option (Right to Buy)F3 | $94.23 | holding | — | — | — | — | Feb 19, 2024 | Common Stock | 3,876 | 3,876 | D |
Explanation of responses
- F1On May 19, 2014, Mr. Upchurch disposed of 2,589 shares of common stock in a transaction exempted from Section 16.
- F21,563 options become exercisable on February 22, 2014 and 1,563 options become exercisable on February 22, 2015.
- F3These options become exercisable in three equal installments beginning on the first anniversary of the date of grant.