SEC Form 4 · accession 0000054480-15-000019
KANSAS CITY SOUTHERN · KSU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael J. Naatz
Officer — Sr. VP & CIO
Period of report
Feb 18, 2015
Accepted (ET)
Feb 20, 2015 · 5:00 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 | Feb 18, 2015 | A | 868 | $0.00 | A | 11,880 | 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)F2 | $119.35 | Feb 18, 2015 | A | 1,649 | A | — | Feb 17, 2025 | Common Stock | 1,649 | 1,649 | D |
| Employee Stock Option (Right to Buy)F2 | $97.77 | holding | — | — | — | — | Feb 20, 2023 | Common Stock | 955 | 955 | D |
| Employee Stock Option (Right to Buy)F2 | $94.23 | holding | — | — | — | — | Feb 19, 2024 | Common Stock | 1,018 | 1,018 | D |
Explanation of responses
- F1Includes 30 shares acquired on December 31, 2014 through the KCS Employee Stock Purchase Plan.
- F2These options become exercisable in three equal installments beginning on the first anniversary of the date of grant.