DAVIES GERALD K 4

Accession 0000054480-04-000150

CIK 0000054480other

View on SEC.gov Company Profile

Filed

Nov 7, 7:00 PM ET

Accepted

Nov 8, 6:12 PM ET

Size

52.5 KB

Accession

0000054480-04-000150

Insider Transaction Report

Form 4

Period: 2004-11-04

KANSAS CITY SOUTHERNKSU

DAVIES GERALD K

Executive Vice President & COO

Transactions

Sale
Common Stock
2004-11-04$16.51/sh−5,200$85,852→ 104,847 total
Other
LSAR
2004-11-08−5,900→ 0 total
Exercise: $5.75→ Common Stock (5,900 underlying)
Sale
Common Stock
2004-11-04$16.55/sh−2,400$39,720→ 100,847 total
Other
LSAR
2004-11-05−71,100→ 0 total
Exercise: $5.75→ Common Stock (71,100 underlying)
Sale
Common Stock
2004-11-04$16.52/sh−1,100$18,172→ 103,747 total
Exercise/Conversion
Common Stock
2004-11-04$5.75/sh+77,600$446,200→ 147,747 total
Exercise/Conversion
Option (Right to Buy)
2004-11-04−77,600→ 0 total
Exercise: $5.75From: 2001-07-13Exp: 2010-07-12→ Common Stock (77,600 underlying)
Exercise/Conversion
Option (Right to Buy)
2004-11-05−71,100→ 0 total
Exercise: $5.75From: 2003-07-13Exp: 2010-07-12→ Common Stock (71,100 underlying)
Sale
Common Stock
2004-11-04$16.50/sh−37,700$622,050→ 110,047 total
Other
LSAR
2004-11-04−77,600→ 0 total
Exercise: $5.75→ Common Stock (77,600 underlying)
Other
LSAR
2004-11-05−106,800→ 0 total
Exercise: $5.75→ Common Stock (106,800 underlying)
Sale
Common Stock
2004-11-04$16.53/sh−500$8,265→ 103,247 total
Sale
Common Stock
2004-11-04$16.56/sh−5,000$82,800→ 95,847 total
Exercise/Conversion
Option (Right to Buy)
2004-11-05−106,800→ 0 total
Exercise: $5.75From: 2001-07-13Exp: 2010-07-12→ Common Stock (106,800 underlying)
Sale
Common Stock
2004-11-04$16.57/sh−8,800$145,816→ 87,047 total
Exercise/Conversion
Option (Right to Buy)
2004-11-08−5,900→ 0 total
Exercise: $5.75From: 2003-07-13Exp: 2010-07-12→ Common Stock (5,900 underlying)

Holdings

LSAR
Exercise: $13.42→ Common Stock (5,513 underlying)
5,513
Option (Right to Buy)
Exercise: $14.53From: 2004-02-09Exp: 2014-02-08→ Common Stock (6,195 underlying)
6,195
LSAR
Exercise: $14.34→ Common Stock (5,160 underlying)
5,160
Option (Right to Buy)
Exercise: $12.55Exp: 2013-01-15→ Common Stock (6,897 underlying)
6,897
Option (Right to Buy)
Exercise: $12.55From: 2008-01-16Exp: 2013-01-15→ Common Stock (45,000 underlying)
45,000
Option (Right to Buy)
Exercise: $5.16Exp: 2010-02-28→ Common Stock (595 underlying)
595
Option (Right to Buy)
Exercise: $14.34Exp: 2011-02-26→ Common Stock (5,160 underlying)
5,160
Option (Right to Buy)
Exercise: $13.42Exp: 2012-02-05→ Common Stock (5,513 underlying)
5,513
LSAR
Exercise: $12.55→ Common Stock (6,897 underlying)
6,897
LSAR
Exercise: $14.53→ Common Stock (6,195 underlying)
6,195
LSAR
Exercise: $5.16→ Common Stock (595 underlying)
595
LSAR
Exercise: $12.55→ Common Stock (45,000 underlying)
45,000

Footnotes (5)

[F1]These options became exercisable in installments: 25% on June 23, 2001, 25% on June 23, 2002 and 50% on June 23, 2003.
[F2]These options became exercisable in installments: 2,206 on February 6, 2002, 1,102 on June 23, 2002 and 2,205 on June 23, 2003.
[F3]These options became exercisable in installments: 4,139 on January 16, 2003 and 2,758 on June 23, 2003.
[F4]Limited Stock Appreciation Rights ("LSARs") are granted in tandem with stock options. LSARs become exercisable only following a change-in-control of the Company in lieu of related options and are exercisable only for cash. LSARs terminate when the related options are exercised or terminated.
[F5]Options exercised in rule 16b-3 exempt transaction. LSARs canceled with respect to such shares.

Documents

1 file

4
edgar.xmlPrimary
PRIMARY DOCUMENT

Issuer

KANSAS CITY SOUTHERN

CIK 0000054480

→

Entity typeother

Related Parties

filerCIK 0001224435

Filing Metadata

Form type: 4
Filed: Nov 7, 7:00 PM ET
Accepted: Nov 8, 6:12 PM ET
Size: 52.5 KB

View on SEC.gov