SEC Form 4/A · accession 0000054480-16-000186
KANSAS CITY SOUTHERN · KSU
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
Delano Jose Guillermo Zozaya
Officer — President & Exec Rep of Sub
Period of report
Feb 19, 2016
Accepted (ET)
Mar 1, 2016 · 6:46 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,F3 | Feb 19, 2016 | A | 7,805 | $0.00 | A | 48,369 | 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)F4,F2 | $82.71 | Feb 19, 2016 | A | 4,972 | A | — | Feb 18, 2026 | Common Stock | 4,972 | 4,972 | D |
Explanation of responses
- F12,543 of these shares represent performance shares that were earned on February 19, 2016 when the KCS Compensation and Organization Committee determined that the performance goals were met. These performance shares will not vest until February 29, 2016 contingent upon continued employment by the reporting person through that date. Until these shares vest, the reporting person does not have the right to vote, receive, or be entitled to receive, cash or non-cash dividends or any other beneficial rights as a shareholder of the Company.
- F2These options become exercisable in three equal installments beginning on the first anniversary of the date of grant.
- F3This amount was inadvertently overstated by 487 shares in the reporting person's Form 4 filed on February 22, 2016.
- F4This amount was inadvertently overstated by 1,751 shares in the reporting person's Form 4 filed on February 22, 2016.