Statement of Changes in Beneficial Ownership (4)
March 01 2021 - 5:44PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Godderz Adam J |
2. Issuer Name and Ticker or Trading Symbol
KANSAS CITY SOUTHERN
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KSU
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) SVP Chief Legal Ofc & Corp Sec |
(Last)
(First)
(Middle)
KANSAS CITY SOUTHERN, 427 W 12TH STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/26/2021 |
(Street)
KANSAS CITY, MO 64105
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 2/26/2021 | | F | | 301 | D | $213.51 | 5894 | D | |
Common Stock | | | | | | | | 1412.336 | I | Held by 401(k) & P/S Plan |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (Right to Buy) | $66.99 | | | | | | | (1) | 2/21/2022 | Common Stock | 446 | | 446 | D | |
Employee Stock Option (Right to Buy) | $97.77 | | | | | | | (1) | 2/20/2023 | Common Stock | 604 | | 604 | D | |
Employee Stock Option (Right to Buy) | $94.23 | | | | | | | (1) | 2/19/2024 | Common Stock | 631 | | 631 | D | |
Employee Stock Option (Right to Buy) | $119.35 | | | | | | | (1) | 2/17/2025 | Common Stock | 607 | | 607 | D | |
Employee Stock Option (Right to Buy) | $82.71 | | | | | | | (1) | 2/18/2026 | Common Stock | 1218 | | 1218 | D | |
Employee Stock Option (Right to Buy) | $86.89 | | | | | | | (1) | 2/16/2027 | Common Stock | 1145 | | 1145 | D | |
Employee Stock Option (Right to Buy) | $105.83 | | | | | | | (1) | 3/5/2028 | Common Stock | 982 | | 982 | D | |
Employee Stock Option (Right to Buy) | $110.13 | | | | | | | (1) | 3/4/2029 | Common Stock | 3210 | | 3210 | D | |
Employee Stock Option (Right to Buy) | $171.86 | | | | | | | (1) | 2/6/2030 | Common Stock | 3213 | | 3213 | D | |
Employee Stock Option (Right to Buy) | $211.1 | | | | | | | (1) | 2/2/2031 | Common Stock | 2724 | | 2724 | D | |
Explanation of Responses: |
(1) | These options become exercisable in three equal installments beginning on the first anniversary of the date of grant. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Godderz Adam J KANSAS CITY SOUTHERN 427 W 12TH STREET KANSAS CITY, MO 64105 |
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| SVP Chief Legal Ofc & Corp Sec |
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Signatures
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Julie D. Powell, Attorney-in-fact | | 3/1/2021 |
**Signature of Reporting Person | Date |
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