SEC Form 4 · accession 0000054480-19-000022
KANSAS CITY SOUTHERN · KSU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian D. Hancock
Officer — EVP & Chief Innovation Officer
Period of report
Jan 30, 2019
Accepted (ET)
Feb 1, 2019 · 5:56 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 | Jan 30, 2019 | A | 7,750 | $0.00 | A | 27,006 | 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)F2 | $82.71 | holding | — | — | — | — | Feb 18, 2026 | Common Stock | 4,648 | 4,648 | D |
| Employee Stock Option (Right to Buy)F3 | $86.89 | holding | — | — | — | — | Feb 16, 2027 | Common Stock | 6,552 | 6,552 | D |
| Employee Stock Option (Right to Buy)F3 | $105.83 | holding | — | — | — | — | Mar 5, 2028 | Common Stock | 6,355 | 6,355 | D |
Explanation of responses
- F17,750 of these shares represent performance shares that were earned on January 30, 2019 when the KCS Compensation and Organization Committee determined that the performance goals were met. These performance shares will not vest until February 22, 2019 contingent upon continued employment by the reporting person through that date. Until these shares vest, the reporting person does not have the right to vote, receive, or be entitled to receive, cash or non-cash dividends or any other beneficial rights as a shareholder of the Company.
- F2Theses options become exercisable in two equal installments beginning on the second anniversary of the date of grant.
- F3These options become exercisable in three equal installments beginning on the first anniversary of the date of grant.