SEC Form 4 · accession 0000054480-16-000262
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
Jul 29, 2016
Accepted (ET)
Aug 1, 2016 · 5:00 pm EDT
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 | Jul 29, 2016 | S | 5,367 | $95.182 | D | 16,808 | 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 |
| Employee Stock Option (Right to Buy)F3 | $119.35 | holding | — | — | — | — | Feb 17, 2025 | Common Stock | 3,726 | 3,726 | D |
| Employee Stock Option (Right to Buy)F3 | $82.71 | holding | — | — | — | — | Feb 18, 2026 | Common Stock | 6,973 | 6,973 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $95.1800 to $95.1910, inclusive. The reporting person undertakes to provide to Kansas City Southern, any security holder of Kansas City Southern, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- 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.