SEC Form 4 · accession 0000054480-18-000018
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
Jan 5, 2018
Accepted (ET)
Jan 9, 2018 · 6:02 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 | Jan 5, 2018 | F | 556 | $107.00 | D | 4,591 | D | |
| Common Stock | Jan 9, 2018 | D | 1,987 | $0.00 | D | 2,604 | 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,F4,F1 | $119.35 | Jan 9, 2018 | J | 325 | D | — | Feb 17, 2025 | Common Stock | 976 | 651 | D |
| Employee Stock Option (Right to Buy)F3,F2 | $82.71 | Jan 9, 2018 | J | 1,566 | D | — | Feb 18, 2026 | Common Stock | 1,566 | 0 | D |
| Employee Stock Option (Right to Buy)F3,F1 | $86.89 | Jan 9, 2018 | J | 2,208 | D | — | Feb 16, 2027 | Common Stock | 2,208 | 0 | 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.
- F3These options have been forfeited in connection with the Reporting Person's termination from the Company.
- F4Expiration of the remaining options accelerates to April 8, 2018 due to the Reporting Person's termination from the Company.