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KSU Kansas City Southern

293.59
0.00 (0.00%)
After Hours
Last Updated: 01:00:00
Delayed by 15 minutes
Share Name Share Symbol Market Type
Kansas City Southern NYSE:KSU NYSE Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 293.59 0 01:00:00

Statement of Changes in Beneficial Ownership (4)

19/11/2020 10:02pm

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
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

ERDMAN WARREN K
2. Issuer Name and Ticker or Trading Symbol

KANSAS CITY SOUTHERN [ KSU ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
Executive Vice President
(Last)          (First)          (Middle)

KANSAS CITY SOUTHERN, PO BOX 219335
3. Date of Earliest Transaction (MM/DD/YYYY)

11/18/2020
(Street)

KANSAS CITY, MO 64121-9335
(City)        (State)        (Zip)
4. 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

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 11/18/2020  M  4980 A$52.62 55210 (1)D  
Common Stock 11/18/2020  S  3036 D$189.2776 (2)52174 D  
Common Stock         1068.457 (3)I Held by 401(k) & P/S Plan 

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. 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 Date7. 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Employee Stock Option (Right to Buy) $52.62 11/18/2020  M     4980   (4)2/22/2021 Common Stock 4980 $0 0 D  
Employee Stock Option (Right to Buy) $66.99            (4)2/21/2022 Common Stock 3362  3362 D  
Employee Stock Option (Right to Buy) $97.77            (4)2/20/2023 Common Stock 2620  2620 D  
Employee Stock Option (Right to Buy) $94.23            (4)2/19/2024 Common Stock 2777  2777 D  
Employee Stock Option (Right to Buy) $119.35            (4)2/17/2025 Common Stock 2668  2668 D  
Employee Stock Option (Right to Buy) $82.71            (4)2/18/2026 Common Stock 5233  5233 D  
Employee Stock Option (Right to Buy) $86.89            (4)2/16/2027 Common Stock 4916  4916 D  
Employee Stock Option (Right to Buy) $105.83            (4)3/5/2028 Common Stock 4219  4219 D  
Employee Stock Option (Right to Buy) $110.13            (4)3/4/2029 Common Stock 4153  4153 D  
Employee Stock Option (Right to Buy) $171.86            (4)2/6/2030 Common Stock 3404  3404 D  

Explanation of Responses:
(1) Includes 160 shares acquired under the KCS Employee Stock Purchase Plan on June 30, 2020.
(2) The price in Column 4 is a weighted average price. The prices actually received ranged from $189.2701 to $189.306. 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.
(3) Includes 5.5210 shares acquired under the KCS 401(k) and Profit Sharing Plan since the date of the reporting person's last ownership report.
(4) These options become exercisable in three equal installments beginning on the first anniversary of the date of grant.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
ERDMAN WARREN K
KANSAS CITY SOUTHERN
PO BOX 219335
KANSAS CITY, MO 64121-9335


Executive Vice President

Signatures
Julie D. Powell, Attorney-in-fact11/19/2020
**Signature of Reporting PersonDate

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