-----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, GTdKwiFoZJwyIYcVZV/8+91w44FOCQYD9YaNwP7wSRfswUxRg6QE6tVBZHgHIWkf jnsqnQ31DJVKh65Dvs242Q== 0000054480-08-000108.txt : 20080502 0000054480-08-000108.hdr.sgml : 20080502 20080502161958 ACCESSION NUMBER: 0000054480-08-000108 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080501 FILED AS OF DATE: 20080502 DATE AS OF CHANGE: 20080502 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: HEAVIN JERRY W CENTRAL INDEX KEY: 0001225035 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04717 FILM NUMBER: 08799264 MAIL ADDRESS: STREET 1: 427 WEST 12TH STREET CITY: KANSAS CITY STATE: MO ZIP: 64105 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2008-05-01 0000054480 KANSAS CITY SOUTHERN KSU 0001225035 HEAVIN JERRY W KANSAS CITY SOUTHERN PO BOX 219335 KANSAS CITY MO 64121-9335 0 1 0 0 Sr. Vice President of Sub. Common Stock 2008-05-01 4 M 0 23000 12.55 A 47892 D Common Stock 2008-05-01 4 S 0 3100 46.86 D 44792 D Common Stock 2008-05-01 4 S 0 3800 46.87 D 40992 D Common Stock 2008-05-01 4 S 0 800 46.88 D 40192 D Common Stock 2008-05-01 4 S 0 2300 46.89 D 37892 D Common Stock 2008-05-01 4 S 0 3000 46.90 D 34892 D Common Stock 2008-05-01 4 S 0 1600 46.91 D 33292 D Common Stock 2008-05-01 4 S 0 600 46.92 D 32692 D Common Stock 2008-05-01 4 S 0 3600 46.93 D 29092 D Common Stock 2008-05-01 4 S 0 400 46.94 D 28692 D Common Stock 2008-05-01 4 S 0 1100 46.95 D 27592 D Common Stock 2008-05-01 4 S 0 200 46.96 D 27392 D Common Stock 2008-05-01 4 S 0 100 46.99 D 27292 D Common Stock 2008-05-01 4 S 0 400 47.00 D 26892 D Common Stock 2008-05-01 4 S 0 200 47.01 D 26692 D Common Stock 2008-05-01 4 S 0 600 47.02 D 26092 D Common Stock 2008-05-01 4 S 0 1100 47.03 D 24992 D Common Stock 2008-05-01 4 S 0 100 47.04 D 24892 D Common Stock 1418.354 I Held by 401(k) & P/S Plan Common Stock 1.019 I Held by ESOP Option (Right to Buy) 13.34 2002-09-04 2011-09-03 Common Stock 20000 20000 D LSAR 13.34 Common Stock 20000 20000 D Option (Right to Buy) 14.78 2003-07-19 2012-07-18 Common Stock 30000 30000 D LSAR 14.78 Common Stock 30000 30000 D Option (Right to Buy) 12.90 2007-10-01 2012-09-30 Common Stock 80000 80000 D LSAR 12.90 Common Stock 80000 80000 D Option (Right to Buy) 14.60 2007-11-07 2012-11-06 Common Stock 2000 2000 D LSAR 14.60 Common Stock 2000 2000 D Option (Right to Buy) 12.55 2013-01-15 Common Stock 2996 2996 D LSAR 12.55 Common Stock 2996 2996 D Option (Right to Buy) 12.55 2008-05-01 4 M 0 23000 0 D 2008-01-16 2013-01-15 Common Stock 23000 7000 D LSAR 12.55 2008-05-01 4 J 0 23000 0 D Common Stock 23000 7000 D Option (Right to Buy) 14.60 2005-01-02 2014-01-01 Common Stock 20000 20000 D LSAR 14.60 Common Stock 20000 20000 D Option (Right to Buy) 14.53 2014-02-08 Common Stock 2771 2771 D LSAR 14.53 Common Stock 2771 2771 D 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. These options are exercisable in installments: 600 on June 23, 2003, 600 on June 23, 2004, 600 on June 23, 2005 and 1,196 on June 23, 2006. These options are exercisable in installments: 554 on February 9, 2004, 554 on June 23, 2004, 554 on June 23, 2005 and 1109 on June 23, 2006. 1.019 shares have accrued to the reporting person's account under the KCS Employee Stock Ownership Plan. Includes 3,806 performance shares that were earned on February 28, 2008 when the KCS Compensation and Organization Committee determined that the 2007 performance goals were met. These performance shares will not vest until January 17, 2010 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. Options exercised in rule 16b-3 exempt transaction. LSARs canceled with respect to such shares. Includes 26.492 shares acquired under the KCS 401(k) and Profit Sharing Plan since the date of the reporting person's last ownership report for a total of 1,418.354 shares. Brian P. Banks, Attorney-in-fact 2008-05-02 -----END PRIVACY-ENHANCED MESSAGE-----