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