-----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, FYR6fHxBx5y/NYQZGPPqBVQkaPiZiRBvFc0+T8LgzklXyKYM3uZXqc8XEGFpiHkX SFzDdK9QH6/YpLPWURjt4A== 0000807985-97-000052.txt : 19971111 0000807985-97-000052.hdr.sgml : 19971111 ACCESSION NUMBER: 0000807985-97-000052 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19971110 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: KANSAS CITY SOUTHERN INDUSTRIES INC CENTRAL INDEX KEY: 0000054480 STANDARD INDUSTRIAL CLASSIFICATION: RAILROADS, LINE-HAUL OPERATING [4011] IRS NUMBER: 440663509 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-31194 FILM NUMBER: 97711126 BUSINESS ADDRESS: STREET 1: 114 W 11TH ST CITY: KANSAS CITY STATE: MO ZIP: 64105 BUSINESS PHONE: 8165560303 MAIL ADDRESS: STREET 1: 114 WEST 11TH STREET CITY: KANSAS CITY STATE: MO ZIP: 64105 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SOUTHEASTERN ASSET MANAGEMENT INC/TN/ CENTRAL INDEX KEY: 0000807985 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 620951781 STATE OF INCORPORATION: TN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 6075 POPLAR AVENUE STE 900 CITY: MEMPHIS STATE: TN ZIP: 38119 BUSINESS PHONE: 9017612474 MAIL ADDRESS: STREET 1: 6075 POPLAR AVENUE STE 900 STREET 2: STE 301 CITY: MEMPHIS STATE: TN ZIP: 38119 SC 13G/A 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Kansas City Southern Industries, Inc. ------------------------------------------ (Name of Issuer) Common Stock ------------------------------------------- (Title of Class and Securities) 485170104 -------------------------------------------- (CUSIP Number of Class of Securities) * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). (Continued on following page(s)) CUSIP No. 485170104 13G - ------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS Southeastern Asset Management, Inc. I.D. No. 62-0951781 - ------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) (b) X - ------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Tennessee - ------------------------------------------------------------------- :(5) SOLE VOTING POWER : (Discretionary Accounts) NUMBER OF SHARES BENEFICIALLY : 9,886,200 shares OWNED BY EACH REPORTING PERSON -------------------------------- WITH :(6) SHARED OR NO VOTING POWER 3,617,600 shares (shared) 1,627,500 shares (none) -------------------------------- :(7) SOLE DISPOSITIVE POWER (Discretionary Accounts) : 11,513,700 shares -------------------------------- :(8) SHARED OR NO DISPOSITIVE POWER : 3,617,600 shares (Shared) - ------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON (Discretionary & Non-discretionary Accounts) 15,131,300 shares - ------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES - ------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 14.1 % - ------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON IA - ------------------------------------------------------------------- CUSIP No. 485170104 13G - ------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS Longleaf Partners Fund I.D. No. 63-6147721 - ------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) (b) X - ------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Massachusetts business trust - ------------------------------------------------------------------- :(5) SOLE VOTING POWER : (Discretionary Accounts) NUMBER OF SHARES BENEFICIALLY : None OWNED BY EACH REPORTING PERSON -------------------------------- WITH :(6) SHARED VOTING POWER : 3,617,600 shares -------------------------------- :(7) SOLE DISPOSITIVE POWER : (Discretionary Accounts) : None -------------------------------- :(8) SHARED DISPOSITIVE POWER : 3,617,600 shares - ------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,617,600 shares - ------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES - ------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.4 % - ------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON IV - ------------------------------------------------------------------- CUSIP No. 485170104 13G - ------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS O. Mason Hawkins I.D. No. ###-##-#### - ------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) (b) X - ------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Citizen of United States - ------------------------------------------------------------------- :(5) SOLE VOTING POWER : (Discretionary Accounts) NUMBER OF SHARES BENEFICIALLY : None OWNED BY EACH REPORTING PERSON -------------------------------- WITH :(6) SHARED VOTING POWER : None -------------------------------- :(7) SOLE DISPOSITIVE POWER : None -------------------------------- :(8) SHARED DISPOSITIVE POWER : None - ------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON None (See Item 3 ) - ------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES - ------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.0% - ------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON IN - ------------------------------------------------------------------- Item 1. (a). Name of Issuer: Kansas City Southern Industries, Inc. ("Issuer") (b). Address of Issuer's Principal Executive Offices: 114 West 11th Street Kansas City, MO 64105-1804 Item 2. (a) and (b). Names and Principal Business Addresses of Persons Filing: (1). Southeastern Asset Management, Inc. 6075 Poplar Ave., Suite 900 Memphis, TN 38119 (2). Longleaf Partners Fund 6075 Poplar Ave., Suite 900 Memphis, TN 38119 (3). Mr. O. Mason Hawkins Chairman of the Board and C.E.O. Southeastern Asset Management, Inc. 6075 Poplar Ave. Suite 900 Memphis, TN 38119 (c). Citizenship: Southeastern Asset Management, Inc. - A Tennessee corporation Longleaf Partners Fund, a series of Longleaf Partners Funds Trust, a Massachusetts business trust Mr. O. Mason Hawkins - U.S. Citizen (d). Title of Class of Securities: Common Stock, (the "Securities"). (e). Cusip Number: 485170104 Item 3. If this statement is filed pursuant to Rules 13d-1 (b) or 13d-2 (b), check whether the person filing is a: (d). Investment Company registered under Sec. 8 of the Investment Company Act- Longleaf Partners Fund, a series of Longleaf Partners Funds Trust. (e). Investment Advisor registered under Section 203 of the Investment Advisers Act of 1940. This statement is being filed by Southeastern Asset Management, Inc. as a registered investment adviser. All of the securities covered by this report are owned legally by Southeastern's investment advisory clients and none are owned directly or indirectly by Southeastern. As permitted by Rule 13d-4, the filing of this statement shall not be construed as an admission that Southeastern Asset Management, Inc. is the beneficial owner of any of the securities covered by this statement. (g). Parent Holding Company. This statement is also being filed by Mr. O. Mason Hawkins, Chairman of the Board and C.E.O. of Southeastern Asset Management, Inc. in the event he could be deemed to be a controlling person of that firm as the result of his official positions with or ownership of its voting securities. The existence of such control is expressly disclaimed. Mr. Hawkins does not own directly or indirectly any securities covered by this statement for his own account. As permitted by Rule 13d- 4, the filing of this statement shall not be construed as an admission that Mr. Hawkins is the beneficial owner of any of the securities covered by this statement. Item 4. Ownership: (a). Amount Beneficially Owned: (At October 31, 1997) 15,131,300 shares (b). Percent of Class: 14.1 % Above percentage is based on 107,166,000 shares of Common Stock outstanding at 10/31/97. (c). Number of shares as to which such person has: (i). sole power to vote or to direct the vote: 9,886,200 shares (ii). shared or no power to vote or to direct the vote: Shared - 3,617,600 shares. Securities owned by Longleaf Partners Fund, a series of Longleaf Partners Funds Trust, an open- end management investment company registered under the Investment Company Act of 1940. No power to vote - 1,627,500 (iii). sole power to dispose or to direct the disposition of: 11,513,700 shares (iv). shared or no power to dispose or to direct the disposition of: Shared - 3,617,600 shares Securities owned by Longleaf Partners Fund, a series of Longleaf Partners Funds Trust, an open- end management investment company registered under the Investment Company Act of 1940. Item 5. Ownership of Five Percent or Less of a Class: N/A Item 6. Ownership of More Than Five Percent on Behalf of Another Person: N/A Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company: N/A Item 8. Identification and Classification of Members of the Group: N/A Item 9. Notice of Dissolution of Group: N/A Item 10. Certification: By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. Signatures After reasonable inquiry and to the best of the knowledge and belief of the undersigned, the undersigned certifies that the information set forth in this statement is true, complete, and correct. Dated: November 6, 1997 Southeastern Asset Longleaf Partners Fund Management, Inc. By /s/ Charles D. Reaves By /s/ Charles D. Reaves - --------------------------- -------------------------- Charles D. Reaves Charles D. Reaves Vice President and Executive Vice President General Counsel O. Mason Hawkins, Individually /s/ O. Mason Hawkins - ----------------------- Joint Filing Agreement In accordance with Rule 13d-1(f) under the Securities Exchange Act of 1934, the persons or entities named below agree to the joint filing on behalf of each of them of this Schedule 13G with respect to the Securities of the Issuer and further agree that this joint filing agreement be included as an exhibit to this Schedule 13G. In evidence thereof, the undersigned hereby execute this Agreement as of the 6th day of November, 1997. Southeastern Asset Longleaf Partners Fund Management, Inc. By /s/ Charles D. Reaves By /s/ Charles D. Reaves - --------------------------- -------------------------- Charles D. Reaves Charles D. Reaves Vice President and Executive Vice President General Counsel O. Mason Hawkins, Individually /s/ O. Mason Hawkins - ----------------------- -----END PRIVACY-ENHANCED MESSAGE-----