SEC Form 4 · accession 0000054480-18-000189
KANSAS CITY SOUTHERN · KSU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Suzanne M Grafton
Officer — VP & Chief Accounting Officer
Period of report
Aug 28, 2018
Accepted (ET)
Aug 29, 2018 · 5:59 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 28, 2018 | S | 175 | $119.10 | D | 10,580 | D | |
| Common Stock | Aug 29, 2018 | S | 554 | $120.00 | D | 10,026 | 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 | $119.35 | holding | — | — | — | — | Feb 17, 2025 | Common Stock | 394 | 394 | D |
| Employee Stock Option (Right to Buy)F1 | $82.71 | holding | — | — | — | — | Feb 18, 2026 | Common Stock | 914 | 914 | D |
| Employee Stock Option (Right to Buy)F1 | $86.89 | holding | — | — | — | — | Feb 16, 2027 | Common Stock | 859 | 859 | D |
| Employee Stock Option (Right to Buy)F1 | $105.83 | holding | — | — | — | — | Mar 5, 2028 | Common Stock | 1,893 | 1,893 | D |
Explanation of responses
- F1These options become exercisable in three equal installments beginning on the first anniversary of the date of grant.