SEC Form 4 · accession 0000054480-19-000024

KANSAS CITY SOUTHERN · KSU

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — EVP & CMO

Period of report

Jan 30, 2019

Accepted (ET)

Feb 1, 2019 · 5:59 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^F1,F2	Jan 30, 2019	A	4,280	$0.00	A	17,491	D

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	955	955	D
Employee Stock Option (Right to Buy)^F3	$94.23	holding	—	—	—	—	Feb 19, 2024	Common Stock	1,018	1,018	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	3,618	3,618	D
Employee Stock Option (Right to Buy)^F3	$105.83	holding	—	—	—	—	Mar 5, 2028	Common Stock	3,945	3,945	D

F14,280 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.
F2Includes 187 shares acquired on June 29, 2018 and 46 shares acquired on December 31, 2018 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.