FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 09/22/2008 |
3. Issuer Name and Ticker or Trading Symbol
CSX CORP [ CSX ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, $1.00 par value | 17,796,998 | I | See footnote(1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Equity Swap (obligation to buy) | 01/09/2008 | 05/16/2011 | Common Stock, $1.00 par value | 1,000 | $44.3 | I | See footnote(1) |
Equity Swap (obligation to buy) | 01/09/2008 | 12/16/2008 | Common Stock, $1.00 par value | 1,000 | $44.23 | I | See footnote(1) |
Equity Swap (obligation to buy) | 01/14/2008 | 01/02/2009 | Common Stock, $1.00 par value | 28,410,100 | $43.48 | I | See footnote(1) |
Equity Swap (obligation to buy) | 01/23/2008 | 01/22/2018 | Common Stock, $1.00 par value | 1,000 | $44.14 | I | See footnote(1) |
Equity Swap (obligation to buy) | 01/23/2008 | 01/28/2015 | Common Stock, $1.00 par value | 1,000 | $44.1 | I | See footnote(1) |
Equity Swap (obligation to buy) | 01/23/2008 | 12/31/2008 | Common Stock, $1.00 par value | 10,000 | $43.26 | I | See footnote(1) |
Equity Swap (obligation to buy) | 01/24/2008 | 01/25/2010 | Common Stock, $1.00 par value | 1,000 | $44.48 | I | See footnote(1) |
Equity Swap (obligation to buy) | 01/28/2008 | 12/31/2008 | Common Stock, $1.00 par value | 17,974,900 | $42.63 | I | See footnote(1) |
Equity Swap (obligation to buy) | 02/06/2008 | 02/27/2009 | Common Stock, $1.00 par value | 1,000 | $44.33 | I | See footnote(1) |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. The Children's Investment Fund Management (Cayman) Ltd., a Cayman Islands exempted company ("TCIF") and The Children's Investment Fund Management (UK) LLP, an English limited liability partnership ("TCIF UK") serve as management companies for The Children's Investment Master Fund, a Cayman Islands exempted company (the "TCI Fund"). Christopher Hohn is the managing partner of TCIF UK and the 100% owner of TCIF, and therefore is in a position to determine the investment and voting decisions made by the TCI Fund. The Reporting Persons disclaim beneficial ownership of any and all securities reported herein in excess of their respective pecuniary interest therein and this report shall not be deemed an admission that the Reporting Persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose. Mr. Hohn is a director of the Issuer. |
Remarks: |
TCIF UK, TCIF and the TCI Fund may be deemed to be directors by deputization by virtue of the fact that Mr. Hohn, the managing partner of TCIF UK and the 100% owner of TCIF, serves on the board of directors of the Issuer. |
/s/ Christopher Hohn | 09/29/2008 | |
/s/ The Children's Investment Fund Management (UK) LLP, by Christopher Hohn, Managing Partner | 09/29/2008 | |
/s/ The Children's Investment Fund Management (Cayman) Ltd., by David de Rosa, Director | 09/29/2008 | |
/s/ The Children's Investment Master Fund, by David de Rosa, Director | 09/29/2008 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |