0000054480-16-000260.txt : 20160721 0000054480-16-000260.hdr.sgml : 20160721 20160721173855 ACCESSION NUMBER: 0000054480-16-000260 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160720 FILED AS OF DATE: 20160721 DATE AS OF CHANGE: 20160721 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Starling David L CENTRAL INDEX KEY: 0001437912 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04717 FILM NUMBER: 161778056 MAIL ADDRESS: STREET 1: PO BOX 219335 CITY: KANSAS CITY STATE: MO ZIP: 64121 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-07-20 0000054480 KANSAS CITY SOUTHERN KSU 0001437912 Starling David L KANSAS CITY SOUTHERN PO BOX 219335 KANSAS CITY MO 64121-9335 1 1 0 0 Senior Advisor to the CEO Common Stock 2016-07-20 4 S 0 5100 98.8847 D 121572 D Employee Stock Option (Right to Buy) 51.55 2013-07-30 2018-07-29 Common Stock 3880 3880 D LSAR 51.55 Common Stock 3880 3880 D Employee Stock Option (Right to Buy) 35.41 2013-03-01 2020-02-29 Common Stock 20600 20600 D Employee Stock Option (Right to Buy) 52.62 2021-02-22 Common Stock 21900 21900 D Employee Stock Option (Right to Buy) 66.99 2022-02-21 Common Stock 16447 16447 D Employee Stock Option (Right to Buy) 97.77 2023-02-20 Common Stock 13068 13068 D Employee Stock Option (Right to Buy) 94.23 2024-02-19 Common Stock 13835 13835 D Employee Stock Option (Right to Buy) 119.35 2025-02-17 Common Stock 13285 13285 D Employee Stock Option (Right to Buy) 82.71 2026-02-18 Common Stock 31680 31680 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $98.77 to $98.91, 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. Includes 290 shares acquired on June 30, 2016 through the KCS Employee Stock Purchase Plan. 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. 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. The first target was met and 6,867 of these options became exercisable on November 19, 2010. The second target was met and 6,867 of these options became exercisable on December 8, 2010. The third target was met and 6,866 of these options became exercisable on January 7, 2011. These options become exercisable in three equal installments beginning on the first anniversary of the date of grant. Adam J. Godderz, Attorney-in-fact 2016-07-21