SEC Form 4 · accession 0000054480-17-000133
KANSAS CITY SOUTHERN · KSU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Warren K Erdman
Officer — Executive Vice President
Period of report
Jul 7, 2017
Accepted (ET)
Jul 10, 2017 · 5:07 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 7, 2017 | F | 334 | $103.11 | D | 39,877 | D | |
| Common StockF2 | holding | — | — | — | 1,029 | 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)F3 | $35.41 | holding | — | — | — | Mar 1, 2013 | Feb 29, 2020 | Common Stock | 11,400 | 11,400 | D |
| Employee Stock Option (Right to Buy)F4 | $52.62 | holding | — | — | — | — | Feb 22, 2021 | Common Stock | 4,980 | 4,980 | D |
| Employee Stock Option (Right to Buy)F4 | $66.99 | holding | — | — | — | — | Feb 21, 2022 | Common Stock | 3,362 | 3,362 | D |
| Employee Stock Option (Right to Buy)F4 | $97.77 | holding | — | — | — | — | Feb 20, 2023 | Common Stock | 2,620 | 2,620 | D |
| Employee Stock Option (Right to Buy)F4 | $94.23 | holding | — | — | — | — | Feb 19, 2024 | Common Stock | 2,777 | 2,777 | D |
| Employee Stock Option (Right to Buy)F4 | $119.35 | holding | — | — | — | — | Feb 17, 2025 | Common Stock | 2,668 | 2,668 | D |
| Employee Stock Option (Right to Buy)F4 | $82.71 | holding | — | — | — | — | Feb 18, 2026 | Common Stock | 5,233 | 5,233 | D |
| Employee Stock Option (Right to Buy)F4 | $86.89 | holding | — | — | — | — | Feb 16, 2027 | Common Stock | 4,916 | 4,916 | D |
Explanation of responses
- F1Includes 308 shares acquired on June 30, 2017 through the KCS Employee Stock Purchase Plan.
- F2Includes 3.866 shares acquired under the KCS 401(k) and Profit Sharing Plan since the date of the reporting person's last ownership report.
- F3Prior 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 3,800 of these options became exercisable on November 19, 2010. The second target was met and 3,800 of these options became exercisable on December 8, 2010. The third target was met and 3,800 of these options became exercisable on January 7, 2011.
- F4These options become exercisable in three equal installments beginning on the first anniversary of the date of grant.