Annual Statement of Changes in Beneficial Ownership (5)
08 Janvier 2021 - 11:39PM
Edgar (US Regulatory)
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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Form 3 Holdings Reported
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Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB Number:
3235-0362
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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
*
Ottensmeyer Patrick J | 2. Issuer Name and Ticker or Trading SymbolKANSAS CITY SOUTHERN [KSU] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President & CEO |
(Last)
(First)
(Middle)
KANSAS CITY SOUTHERN, PO BOX 219335 | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 12/31/2020 |
(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
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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) | 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) |
Amount | (A) or (D) | Price |
Common Stock | 10/21/2020 | | G | 100 | D | $0 | 108961 (1) | D | |
Common Stock | 10/27/2020 | | G | 75 | D | $0 | 108886 | D | |
Common Stock | 11/2/2020 | | G | 25 | D | $0 | 108861 | D | |
Common Stock | 12/30/2020 | | G | 250 | D | $0 | 108611 | D | |
Common Stock | | | | | | | 259.404 (2) | I | By 401(k) & P/S Plan |
Table II - Derivative Securities Acquired, Disposed of, or 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 (MM/DD/YYYY) | 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 at End of Issuer's Fiscal Year (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (Right to Buy) | $66.99 | | | | | | (3) | 2/21/2022 | Common Stock | 4690 | | 4690 | D | |
Employee Stock Option (Right to Buy) | $97.77 | | | | | | (3) | 2/20/2023 | Common Stock | 3666 | | 3666 | D | |
Employee Stock Option (Right to Buy) | $94.23 | | | | | | (3) | 2/19/2024 | Common Stock | 3876 | | 3876 | D | |
Employee Stock Option (Right to Buy) | $119.35 | | | | | | (3) | 2/17/2025 | Common Stock | 5652 | | 5652 | D | |
Employee Stock Option (Right to Buy) | $82.71 | | | | | | (3) | 2/18/2026 | Common Stock | 13120 | | 13120 | D | |
Employee Stock Option (Right to Buy) | $86.89 | | | | | | (3) | 2/16/2027 | Common Stock | 29763 | | 29763 | D | |
Employee Stock Option (Right to Buy) | $105.83 | | | | | | (3) | 3/5/2028 | Common Stock | 29821 | | 29821 | D | |
Employee Stock Option (Right to Buy) | $110.13 | | | | | | (3) | 3/4/2029 | Common Stock | 29358 | | 29358 | D | |
Employee Stock Option (Right to Buy) | $171.86 | | | | | | (3) | 2/6/2030 | Common Stock | 25965 | | 25965 | D | |
Explanation of Responses: |
(1) | Includes 160 shares acquired on June 30, 2020 through the KCS Employee Stock Purchase Plan. |
(2) | Includes 1.8310 shares acquired under the KCS 401(k) and Profit Sharing Plan since the date of the reporting person's last ownership report. |
(3) | 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 |
Ottensmeyer Patrick J KANSAS CITY SOUTHERN PO BOX 219335 KANSAS CITY, MO 64121-9335 | X |
| President & CEO |
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Signatures
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Julie D. Powell, Attorney-in-fact | | 1/8/2021 |
**Signature of Reporting Person | Date |
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