SEC Form 4 · accession 0000054480-17-000175
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
Oct 31, 2017
Accepted (ET)
Nov 1, 2017 · 5:09 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 | Oct 31, 2017 | M | 955 | $97.77 | A | 6,102 | D | |
| Common Stock | Oct 31, 2017 | M | 1,018 | $94.23 | A | 7,120 | D | |
| Common Stock | Oct 31, 2017 | S | 1,973 | $103.9143 | 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 | $97.77 | Oct 31, 2017 | M | 955 | D | — | Feb 20, 2023 | Common Stock | 955 | 0 | D |
| Employee Stock Option (Right to Buy)F1 | $94.23 | Oct 31, 2017 | M | 1,018 | D | — | Feb 19, 2024 | Common Stock | 1,018 | 0 | 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)F2 | $82.71 | holding | — | — | — | — | Feb 18, 2026 | Common Stock | 1,566 | 1,566 | 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.
- F2783 of these options become exercisable on February 19, 2018 and 783 of these options become exercisable on February 19, 2019.