-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, LjHpafn7P7zMg7I7bBcB7yZna9osKGEZBDLmz+KrJdeBd5DtC7CLEwh9nKa+SD3Z fbrqX06doQK8En2ov9wLtg== 0000054480-10-000116.txt : 20101109 0000054480-10-000116.hdr.sgml : 20101109 20101109162617 ACCESSION NUMBER: 0000054480-10-000116 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100504 FILED AS OF DATE: 20101109 DATE AS OF CHANGE: 20101109 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lawrence Larry M CENTRAL INDEX KEY: 0001350298 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04717 FILM NUMBER: 101176582 MAIL ADDRESS: STREET 1: PO BOX 219335 CITY: KANSAS CITY STATE: MO ZIP: 64121 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: KANSAS CITY SOUTHERN CENTRAL INDEX KEY: 0000054480 STANDARD INDUSTRIAL CLASSIFICATION: RAILROADS, LINE-HAUL OPERATING [4011] IRS NUMBER: 440663509 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 427 W 12TH STREET CITY: KANSAS CITY STATE: MO ZIP: 64105 BUSINESS PHONE: 8169831303 MAIL ADDRESS: STREET 1: PO BOX 219335 CITY: KANSAS CITY STATE: MO ZIP: 64121 FORMER COMPANY: FORMER CONFORMED NAME: KANSAS CITY SOUTHERN INDUSTRIES INC DATE OF NAME CHANGE: 19920703 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2010-05-04 0000054480 KANSAS CITY SOUTHERN KSU 0001350298 Lawrence Larry M KANSAS CITY SOUTHERN PO BOX 219335 KANSAS CITY MO 64121-9335 0 1 0 0 Exec. VP & Asst. to Chairman Common Stock 2010-05-04 4 F 0 4345 40.45 D 62090 D Common Stock 2010-11-05 4 M 0 15000 12.575 A 77090 D Common Stock 2010-11-05 4 M 0 10000 15.80 A 87090 D Common Stock 2010-11-05 4 M 0 15000 11.20 A 102090 D Common Stock 2010-11-05 4 M 0 6000 14.60 A 108090 D Common Stock 2010-11-05 4 S 0 46000 46.1757 D 62090 D Common Stock 2010-11-05 4 S 0 3300 46.1185 D 58790 D Common Stock 2010-11-08 4 M 0 827 14.53 A 59617 D Common Stock 2010-11-08 4 M 0 19000 19.02 A 78617 D Common Stock 2010-11-08 4 S 0 19827 46.4141 D 58790 D Common Stock 2010-11-05 4 S 0 10316 46.1922 D 0 I by 401(k) & P/S Plan Common Stock 11.242 I By ESOP Employee Stock Option (Right to Buy) 12.575 2010-11-05 4 M 0 15000 0 D 2002-11-01 2011-10-31 Common Stock 15000 0 D LSAR 12.575 2010-11-05 4 J 0 15000 0 D Common Stock 15000 0 D Employee Stock Option (Right to Buy) 15.80 2010-11-05 4 M 0 10000 0 D 2003-05-01 2012-04-30 Common Stock 10000 0 D LSAR 15.80 2010-11-05 4 J 0 10000 0 D Common Stock 10000 0 D Employee Stock Option (Right to Buy) 11.20 2010-11-05 4 M 0 15000 0 D 2008-04-01 2013-03-31 Common Stock 15000 0 D LSAR 11.20 2010-11-05 4 J 0 15000 0 D Common Stock 15000 0 D Employee Stock Option (Right to Buy) 14.60 2010-11-05 4 M 0 6000 0 D 2005-01-02 2014-01-01 Common Stock 6000 0 D LSAR 14.60 2010-11-05 4 J 0 6000 0 D Common Stock 6000 0 D Employee Stock Option (Right to Buy) 14.53 2010-11-08 4 M 0 827 0 D 2014-02-08 Common Stock 827 0 D LSAR 14.53 2010-11-08 4 J 0 827 0 D Common Stock 827 0 D Employee Stock Option (Right to Buy) 19.02 2010-11-08 4 M 0 19000 0 D 2006-05-04 2015-05-03 Common Stock 19000 0 D LSAR 19.02 2010-11-08 4 J 0 19000 0 D Common Stock 19000 0 D Employee Stock Option (Right to Buy) 35.41 2013-03-01 2020-02-29 Common Stock 11400 11400 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.00 to $46.32, inclusive. The reporting person undertakes to provide to Kansas City Southern, any security holder of Kansas City Southern, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.10 to $46.13, inclusive. The reporting person undertakes to provide to Kansas City Southern, any security holder of Kansas City Southern, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.205 to $46.65, inclusive. The reporting person undertakes to provide to Kansas City Southern, any security holder of Kansas City Southern, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.09 to $46.29, inclusive. The reporting person undertakes to provide to Kansas City Southern, any security holder of Kansas City Southern, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Limited Stock Appreciation Rights ("LSARs") are granted in tandem with stock options. LSARs become exercisable only following a change-in-control of the Company in lieu of related options and are exercisable only for cash. LSARs terminate when the related options are exercised or terminated. Options exercised in rule 16b-3 exempt transaction. LSARs canceled with respect to such shares. These options became exercisable in installments: 165 on February 9, 2004, 165 on June 23, 2004, 166 on June 23, 2005 and 331 on June 23, 2006. Prior to March 1, 2013, this option may become exercisable in 1/3 increments if the daily closing price of Kansas City Southern's common stock on the New York Stock Exchange is greater than or equal to $38.95, $42.85, and $47.14, respectively, for at least 30 consecutive trading days. Brian P. Banks, Attorney-in-fact 2010-11-09 -----END PRIVACY-ENHANCED MESSAGE-----