SEC Form 4 · accession 0000054480-17-000152
KANSAS CITY SOUTHERN · KSU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mary K Stadler
Officer — SVP - Accounting
Period of report
Aug 18, 2017
Accepted (ET)
Aug 21, 2017 · 5:21 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 Stock | Aug 18, 2017 | M | 1,167 | $66.99 | A | 8,814 | D | |
| Common Stock | Aug 18, 2017 | M | 784 | $82.71 | A | 9,598 | D | |
| Common Stock | Aug 18, 2017 | S | 1,951 | $106.0368 | D | 7,647 | D | |
| Common Stock | Aug 18, 2017 | S | 700 | $105.73 | D | 6,947 | D | |
| Common Stock | Aug 18, 2017 | S | 1,800 | $105.7344 | D | 5,147 | 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)F1 | $66.99 | Aug 18, 2017 | M | 1,167 | D | — | Feb 21, 2022 | Common Stock | 1,167 | 0 | D |
| Employee Stock Option (Right to Buy)F2 | $82.71 | Aug 18, 2017 | M | 784 | D | — | Feb 18, 2026 | Common Stock | 784 | 1,566 | D |
| Employee Stock Option (Right to Buy)F1 | $97.77 | holding | — | — | — | — | Feb 20, 2023 | Common Stock | 955 | 955 | D |
| Employee Stock Option (Right to Buy)F1 | $94.23 | holding | — | — | — | — | Feb 19, 2024 | Common Stock | 1,018 | 1,018 | D |
| Employee Stock Option (Right to Buy)F1 | $119.35 | holding | — | — | — | — | Feb 17, 2025 | Common Stock | 976 | 976 | D |
| Employee Stock Option (Right to Buy)F1 | $86.89 | holding | — | — | — | — | Feb 16, 2027 | Common Stock | 2,208 | 2,208 | D |
Explanation of responses
- F1These options become exercisable in three equal installments beginning on the first anniversary of the date of grant.
- F2This option, representing a right to purchase a total of 2,350 shares, became exercisable in three equal annual installments beginning on February 19, 2017, which was the first anniversary of the date on which the option was granted.