0000054480-13-000114.txt : 20130510 0000054480-13-000114.hdr.sgml : 20130510 20130510160227 ACCESSION NUMBER: 0000054480-13-000114 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130509 FILED AS OF DATE: 20130510 DATE AS OF CHANGE: 20130510 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ebbrecht David R CENTRAL INDEX KEY: 0001512280 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04717 FILM NUMBER: 13833408 MAIL ADDRESS: STREET 1: KANSAS CITY SOUTHERN STREET 2: 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 X0306 4 2013-05-09 0000054480 KANSAS CITY SOUTHERN KSU 0001512280 Ebbrecht David R KANSAS CITY SOUTHERN PO BOX 219335 KANSAS CITY MO 64121 0 1 0 0 Executive Vice President & COO Common Stock 2013-05-09 4 S 0 2522 110.195 D 28588 D Common Stock 11.262 I By 401(k) & Profit Sharing Plan Employee Stock Option (Right to Buy) 52.62 2021-02-22 Common Stock 3320 3320 D Employee Stock Option (Right to Buy) 66.99 2022-02-21 Common Stock 3362 3362 D Employee Stock Option (Right to Buy) 97.77 2023-02-20 Common Stock 3666 3666 D 2,634 of these shares represent performance shares that were earned on February 21, 2013 when the KCS Compensation and Organization Committee determined that the 2012 performance goals were met. These performance shares will not vest until February 28, 2014 contingent upon continued employment by the reporting person through that date. With respect to these shares, 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. 2,541 of these shares represent performance shares that were earned on February 22, 2012 when the KCS Compensation and Organization Committee determined that the 2011 performance goals were met. These performance shares will not vest until February 28, 2014 contingent upon continued employment by the reporting person through that date. With respect to these shares, 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. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $110.001 to $110.29, 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. 1,660 of these options become exercisable on February 23, 2013 and 1,660 of these options become exercisable on February 23, 2014. These options become exercisable in three equal installments beginning on the first anniversary of the date of grant. Adam J. Godderz, Attorney-in-fact 2013-05-10