SEC Form 4 · accession 0001225208-18-001557
NORFOLK SOUTHERN CORP · NSC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan H. Shaw
Officer — EVP & Chief Marketing Officer
Period of report
Jan 24, 2018
Accepted (ET)
Jan 26, 2018 · 2:50 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000702165
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 24, 2018 | M | 650 | $0.00 | A | 4,322 | D | |
| Common Stock | Jan 24, 2018 | F | 238 | $149.585 | D | 4,084 | D | |
| Common StockF2 | holding | — | — | — | 1,657 | I | By 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1 | — | Jan 24, 2018 | M | 650 | D | Jan 24, 2018 | Jan 24, 2018 | Common Stock | 650 | 0 | D |
Explanation of responses
- F1Represents shares earned by the reporting person that were originally granted as restricted stock units on January 24, 2013, under the Corporation's Long-Term Incentive Plan (a Rule 16b-3 plan).
- F2Represents the approximate number of whole shares of Common Stock estimated -- on the basis of the unit accounting system used by the Plan Administrator -- as of January 23, 2018, to have been credited to the reporting person's account in the Norfolk Southern Corporation Thrift and Investment Plan (TIP), a trusteed 401(k) plan. In accordance with TIP's terms applicable to all participants, acquisitions were made at various times and at various prices.