SEC Form 4 · accession 0000054480-17-000033

KANSAS CITY SOUTHERN · KSU

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — EVP & COO

Period of report

Feb 17, 2017

Accepted (ET)

Feb 21, 2017 · 5:31 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 Stock^F1	Feb 17, 2017	A	3,095	$0.00	A	26,947	D
Common Stock	holding	—	—		—	1	I	By 401(k) & P/S Plan

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	$86.89	Feb 17, 2017	A	6,552	A	—	Feb 16, 2027	Common Stock	6,552	6,552	D
Employee Stock Option (Right to Buy)^F2	$97.77	holding	—	—	—	—	Feb 20, 2023	Common Stock	393	393	D
Employee Stock Option (Right to Buy)^F2	$94.23	holding	—	—	—	—	Feb 19, 2024	Common Stock	411	411	D
Employee Stock Option (Right to Buy)^F2	$119.35	holding	—	—	—	—	Feb 17, 2025	Common Stock	1,649	1,649	D
Employee Stock Option (Right to Buy)^F2	$82.71	holding	—	—	—	—	Feb 18, 2026	Common Stock	3,851	3,851	D

F1334 of these shares represent performance shares that were earned on February 17, 2017 when the KCS Compensation and Organization Committee determined that the performance goals were met. These performance shares will not vest until February 28, 2017 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.