SEC Form 4 · accession 0000054480-19-000102
KANSAS CITY SOUTHERN · KSU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael W Upchurch
Officer — EVP & Chief Financial Officer
Period of report
Mar 5, 2019
Accepted (ET)
Mar 7, 2019 · 5:28 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 | Mar 5, 2019 | A | 1,725 | $0.00 | A | 21,213 | 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 | $110.13 | Mar 5, 2019 | A | 6,559 | A | — | Mar 4, 2029 | Common Stock | 6,559 | 6,559 | D |
| Employee Stock Option (Right to Buy)F1 | $97.77 | holding | — | — | — | — | Feb 20, 2023 | Common Stock | 3,666 | 3,666 | D |
| Employee Stock Option (Right to Buy)F1 | $94.23 | holding | — | — | — | — | Feb 19, 2024 | Common Stock | 3,876 | 3,876 | D |
| Employee Stock Option (Right to Buy)F1 | $119.35 | holding | — | — | — | — | Feb 17, 2025 | Common Stock | 3,726 | 3,726 | D |
| Employee Stock Option (Right to Buy)F1 | $82.71 | holding | — | — | — | — | Feb 18, 2026 | Common Stock | 6,973 | 6,973 | D |
| Employee Stock Option (Right to Buy)F1 | $86.89 | holding | — | — | — | — | Feb 16, 2027 | Common Stock | 6,552 | 6,552 | D |
| Employee Stock Option (Right to Buy)F1 | $105.83 | holding | — | — | — | — | Mar 5, 2028 | Common Stock | 6,662 | 6,662 | D |
Explanation of responses
- F1These options become exercisable in three equal installments beginning on the first anniversary of the date of grant.