SEC Form 4 · accession 0000054480-18-000086
KANSAS CITY SOUTHERN · KSU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael J. Naatz
Officer — Sr. VP & CIO
Period of report
Feb 23, 2018
Accepted (ET)
Feb 26, 2018 · 8:01 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 Stock | Feb 23, 2018 | F | 196 | $107.17 | D | 11,915 | 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 | 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 | 1,649 | 1,649 | D |
| Employee Stock Option (Right to Buy)F1 | $82.71 | holding | — | — | — | — | Feb 18, 2026 | Common Stock | 3,851 | 3,851 | D |
| Employee Stock Option (Right to Buy)F1 | $86.89 | holding | — | — | — | — | Feb 16, 2027 | Common Stock | 3,618 | 3,618 | D |
Explanation of responses
- F1These options become exercisable in three equal installments beginning on the first anniversary of the date of grant.