SEC Form 4 · accession 0000054480-17-000180
KANSAS CITY SOUTHERN · KSU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey M Songer
Officer — EVP & COO
Period of report
Dec 7, 2017
Accepted (ET)
Dec 8, 2017 · 6:01 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 StockF1,F2 | Dec 7, 2017 | S | 3,000 | $111.8009 | D | 22,098 | 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)F3 | $97.77 | holding | — | — | — | — | Feb 20, 2023 | Common Stock | 393 | 393 | D |
| Employee Stock Option (Right to Buy)F3 | $94.23 | holding | — | — | — | — | Feb 19, 2024 | Common Stock | 411 | 411 | D |
| Employee Stock Option (Right to Buy)F3 | $119.35 | holding | — | — | — | — | Feb 17, 2025 | Common Stock | 1,649 | 1,649 | D |
| Employee Stock Option (Right to Buy)F3 | $82.71 | holding | — | — | — | — | Feb 18, 2026 | Common Stock | 3,851 | 3,851 | D |
| Employee Stock Option (Right to Buy)F3 | $86.89 | holding | — | — | — | — | Feb 16, 2027 | Common Stock | 6,552 | 6,552 | 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 $111.67 to $111.95, 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.
- F2Includes 171 shares acquired on June 30, 2017 through the KCS Employee Stock Purchase Plan.
- F3These options become exercisable in three equal installments beginning on the first anniversary of the date of grant.