Initial Statement of Beneficial Ownership (3)
June 15 2021 - 4:47PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
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3235-0104
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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
*
Pelkey Sean R. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
6/5/2021
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3. Issuer Name and Ticker or Trading Symbol
CSX CORP [CSX]
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(Last)
(First)
(Middle)
500 WATER STREET |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
VP & Acting CFO / |
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(Street)
JACKSONVILLE, FL 32202
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Common Stock | 10529 (1) | D | |
| Common Stock | 246 | I | CSX Corporation 401(k) Plan (2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Option | 2/22/2020 | 2/22/2027 | Common Stock | 741 | $48.39 | D | |
| Option | 2/6/2021 | 2/6/2028 | Common Stock | 3544 | $53.82 | D | |
| Option | (3) | 2/6/2029 | Common Stock | 3143 | $68.09 | D | |
| Option | (4) | 2/18/2030 | Common Stock | 6616 | $79.51 | D | |
| Option | (5) | 2/9/2031 | Common Stock | 2567 | $88.47 | D | |
| Option | (5) | 2/9/2031 | Common Stock | 7391 | $99.62 | D | |
| Explanation of Responses: |
| (1) | Includes 502 shares acquired under the CSX Corporation Employee Stock Purchase Plan, 351 restricted stock units ("RSUs") vesting on February 6, 2022, 687 RSUs vesting on February 9, 2024, 1,983 RSUs vesting on February 9, 2024, and 2,910 shares of restricted stock vesting on September 4, 2021. |
| (2) | By Trustee, CSX Tax Savings Thrift Plan. The number reflects equivalent shares of cash value held in CSX Stock Fund, which amounts will fluctuate dependent upon daily net asset value of the fund. |
| (3) | Options vest in three equal annual installments beginning on February 6, 2020. |
| (4) | Options vest in three equal annual installments beginning on February 18, 2021. |
| (5) | Options vest in three equal annual installments beginning on February 9, 2022. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Pelkey Sean R.
500 WATER STREET
JACKSONVILLE, FL 32202 |
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| VP & Acting CFO |
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Signatures
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| /s/ Mark D. Austin, Attorney-in-Fact | | 6/15/2021 |
| **Signature of Reporting Person | Date |
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