Statement of Changes in Beneficial Ownership (4)
November 19 2020 - 5:05PM
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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OMB APPROVAL
OMB Number:
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
*
Hancock Brian D. |
2. Issuer Name and Ticker or Trading Symbol
KANSAS CITY SOUTHERN
[
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)
EVP & Chief Innovation Officer |
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(Last)
(First)
(Middle)
KANSAS CITY SOUTHERN, PO BOX 219335 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/18/2020 |
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(Street)
KANSAS CITY, MO 64121-9335
(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 | 11/18/2020 | | S | | 3000 | D | $192.1626 (1) | 17595 | D | |
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) | $86.89 | | | | | | | 2/17/2020 | 2/16/2027 | Common Stock | 2184 | | 2184 | D | |
| Employee Stock Option (Right to Buy) | $105.83 | | | | | | | (2) | 3/5/2028 | Common Stock | 6355 | | 6355 | D | |
| Employee Stock Option (Right to Buy) | $110.13 | | | | | | | (2) | 3/4/2029 | Common Stock | 6256 | | 6256 | D | |
| Employee Stock Option (Right to Buy) | $171.86 | | | | | | | (2) | 2/6/2030 | Common Stock | 5727 | | 5727 | D | |
| Explanation of Responses: |
| (1) | The price in Column 4 is a weighted average price. The prices actually received ranged from $191.875 to $192.39. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. |
| (2) | 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 |
Hancock Brian D.
KANSAS CITY SOUTHERN
PO BOX 219335
KANSAS CITY, MO 64121-9335 |
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| EVP & Chief Innovation Officer |
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Signatures
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| Julie D. Powell, Attorney-in-fact | | 11/19/2020 |
| **Signature of Reporting Person | Date |
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