Lawrence Larry M 4

Accession 0000054480-10-000116

CIK 0000054480other

View on SEC.gov Company Profile

Filed

Nov 8, 7:00 PM ET

Accepted

Nov 9, 4:26 PM ET

Size

51.1 KB

Accession

0000054480-10-000116

Insider Transaction Report

Form 4

Period: 2010-05-04

KANSAS CITY SOUTHERNKSU

Lawrence Larry M

Exec. VP & Asst. to Chairman

Transactions

Exercise/Conversion
Common Stock
2010-11-05$14.60/sh+6,000$87,600→ 108,090 total
Sale
Common Stock
2010-11-05$46.18/sh−46,000$2,124,082→ 62,090 total
Exercise/Conversion
Common Stock
2010-11-08$19.02/sh+19,000$361,380→ 78,617 total
Sale
Common Stock
2010-11-08$46.41/sh−19,827$920,252→ 58,790 total
Exercise/Conversion
Employee Stock Option (Right to Buy)
2010-11-05−10,000→ 0 total
Exercise: $15.80From: 2003-05-01Exp: 2012-04-30→ Common Stock (10,000 underlying)
Other
LSAR
2010-11-05−10,000→ 0 total
Exercise: $15.80→ Common Stock (10,000 underlying)
Exercise/Conversion
Employee Stock Option (Right to Buy)
2010-11-08−827→ 0 total
Exercise: $14.53Exp: 2014-02-08→ Common Stock (827 underlying)
Other
LSAR
2010-11-08−827→ 0 total
Exercise: $14.53→ Common Stock (827 underlying)
Other
LSAR
2010-11-08−19,000→ 0 total
Exercise: $19.02→ Common Stock (19,000 underlying)
Exercise/Conversion
Common Stock
2010-11-08$14.53/sh+827$12,016→ 59,617 total
Sale
Common Stock
2010-11-05$46.19/sh−10,316$476,519→ 0 total(indirect: By 401(k))
Other
LSAR
2010-11-05−15,000→ 0 total
Exercise: $12.57→ Common Stock (15,000 underlying)
Other
LSAR
2010-11-05−15,000→ 0 total
Exercise: $11.20→ Common Stock (15,000 underlying)
Exercise/Conversion
Employee Stock Option (Right to Buy)
2010-11-05−6,000→ 0 total
Exercise: $14.60From: 2005-01-02Exp: 2014-01-01→ Common Stock (6,000 underlying)
Other
LSAR
2010-11-05−6,000→ 0 total
Exercise: $14.60→ Common Stock (6,000 underlying)
Exercise/Conversion
Employee Stock Option (Right to Buy)
2010-11-08−19,000→ 0 total
Exercise: $19.02From: 2006-05-04Exp: 2015-05-03→ Common Stock (19,000 underlying)
Tax Payment
Common Stock
2010-05-04$40.45/sh−4,345$175,755→ 62,090 total
Exercise/Conversion
Common Stock
2010-11-05$12.57/sh+15,000$188,625→ 77,090 total
Exercise/Conversion
Common Stock
2010-11-05$15.80/sh+10,000$158,000→ 87,090 total
Exercise/Conversion
Common Stock
2010-11-05$11.20/sh+15,000$168,000→ 102,090 total
Sale
Common Stock
2010-11-05$46.12/sh−3,300$152,191→ 58,790 total
Exercise/Conversion
Employee Stock Option (Right to Buy)
2010-11-05−15,000→ 0 total
Exercise: $12.57From: 2002-11-01Exp: 2011-10-31→ Common Stock (15,000 underlying)
Exercise/Conversion
Employee Stock Option (Right to Buy)
2010-11-05−15,000→ 0 total
Exercise: $11.20From: 2008-04-01Exp: 2013-03-31→ Common Stock (15,000 underlying)

Holdings

Common Stock
(indirect: By ESOP)
11.242
Employee Stock Option (Right to Buy)
Exercise: $35.41From: 2013-03-01Exp: 2020-02-29→ Common Stock (11,400 underlying)
11,400

Footnotes (8)

[F1]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.00 to $46.32, inclusive. The reporting person undertakes to provide to Kansas City Southern, any security holder of Kansas City Southern, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
[F2]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.10 to $46.13, inclusive. The reporting person undertakes to provide to Kansas City Southern, any security holder of Kansas City Southern, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
[F3]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.205 to $46.65, inclusive. The reporting person undertakes to provide to Kansas City Southern, any security holder of Kansas City Southern, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
[F4]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.09 to $46.29, inclusive. The reporting person undertakes to provide to Kansas City Southern, any security holder of Kansas City Southern, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
[F5]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.
[F6]Options exercised in rule 16b-3 exempt transaction. LSARs canceled with respect to such shares.
[F7]These options became exercisable in installments: 165 on February 9, 2004, 165 on June 23, 2004, 166 on June 23, 2005 and 331 on June 23, 2006.
[F8]Prior to March 1, 2013, this option may become exercisable in 1/3 increments if the daily closing price of Kansas City Southern's common stock on the New York Stock Exchange is greater than or equal to $38.95, $42.85, and $47.14, respectively, for at least 30 consecutive trading days.

Documents

1 file

4
edgar.xmlPrimary
PRIMARY DOCUMENT

Issuer

KANSAS CITY SOUTHERN

CIK 0000054480

→

Entity typeother

Related Parties

filerCIK 0001350298

Filing Metadata

Form type: 4
Filed: Nov 8, 7:00 PM ET
Accepted: Nov 9, 4:26 PM ET
Size: 51.1 KB

View on SEC.gov