SEC Form 4 · accession 0000054480-15-000031
KANSAS CITY SOUTHERN · KSU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William J Wochner
Officer — Sr VP & Chief Legal Officer
Period of report
Feb 18, 2015
Accepted (ET)
Feb 20, 2015 · 5:23 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 | 1,003 | $0.00 | A | 60,616 | D | |
| Common StockF2 | holding | — | — | — | 17,623 | I | Held by 401(k) & P/S Plan |
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)F5 | $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)F3 | $34.11 | holding | — | — | — | Feb 23, 2012 | Feb 22, 2017 | Common Stock | 2,500 | 2,500 | D |
| LSARF3 | $34.11 | holding | — | — | — | — | — | Common Stock | 2,500 | 2,500 | D |
| Employee Stock Option (Right to Buy)F4 | $35.41 | holding | — | — | — | Mar 1, 2013 | Feb 29, 2020 | Common Stock | 6,800 | 6,800 | D |
| Employee Stock Option (Right to Buy)F5 | $52.62 | holding | — | — | — | — | Feb 22, 2021 | Common Stock | 2,830 | 2,830 | D |
| Employee Stock Option (Right to Buy)F5 | $66.99 | holding | — | — | — | — | Feb 21, 2022 | Common Stock | 2,037 | 2,037 | D |
| Employee Stock Option (Right to Buy)F5 | $97.77 | holding | — | — | — | — | Feb 20, 2023 | Common Stock | 1,618 | 1,618 | D |
| Employee Stock Option (Right to Buy)F5 | $94.23 | holding | — | — | — | — | Feb 19, 2024 | Common Stock | 1,720 | 1,720 | D |
Explanation of responses
- F1Includes 87 shares acquired on December 31, 2014 through the KCS Employee Stock Purchase Plan.
- F2Includes 42.049 shares acquired under the KCS 401(k) and Profit Sharing Plan since the date of the reporting person's last ownership report.
- F3Limited Stock Appreciation Rights ("LSARs") are granted in tandem with stock options. LSARs become exercisable only following a change-in-control of the Company in lieu of related options and are exercisable only for cash. LSARs terminate when the related options are exercised or terminated.
- F4Prior to March 1, 2013, this option may become exercisable in 1/3 increments if the daily closing price of Kansas City Southern's common stock on the New York Stock Exchange is greater than or equal to $38.95, $42.85, and $47.14, respectively, for at least 30 consecutive trading days. The first target was met and 2,267 of these options became exercisable on November 19, 2010. The second target was met and 2,267 of these options became exercisable on December 8, 2010. The third target was met and 2,266 of these options became exercisable on January 7, 2011.
- F5These options become exercisable in three equal installments beginning on the first anniversary of the date of grant.