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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to Buy) (5) | $ 5.75 | 07/13/2003 | 07/12/2010 | Common Stock | 17,400 | 17,400 | D | ||||||||
LSAR (5) | $ 5.75 | (5) | (5) | Common Stock | 17,400 | 17,400 | D | ||||||||
Employee Stock Option (Right to Buy) (5) | $ 5.75 | 07/13/2001 | 07/12/2010 | Common Stock | 92,000 | 92,000 | D | ||||||||
LSAR (5) | $ 5.75 | (5) | (5) | Common Stock | 92,000 | 92,000 | D | ||||||||
Employee Stock Option (Right to Buy) (5) | $ 14.34 | 02/27/2001 | 02/26/2011 | Common Stock | 122 | 122 | D | ||||||||
LSAR (5) | $ 14.34 | (5) | (5) | Common Stock | 122 | 122 | D | ||||||||
Employee Stock Option (Right to Buy) (5) | $ 13.42 | 02/06/2002 | 02/05/2012 | Common Stock | 130 | 130 | D | ||||||||
LSAR (5) | $ 13.42 | (5) | (5) | Common Stock | 130 | 130 | D | ||||||||
Employee Stock Option (Right to Buy) (5) | $ 12.55 | 01/16/2003 | 01/15/2013 | Common Stock | 500 | 500 | D | ||||||||
LSAR (5) | $ 12.55 | (5) | (5) | Common Stock | 500 | 500 | D | ||||||||
Employee Stock Option (Right to Buy) (5) | $ 12.55 | 01/16/2008 | 01/15/2013 | Common Stock | 15,000 | 15,000 | D | ||||||||
LSAR (5) | $ 12.55 | (5) | (5) | Common Stock | 15,000 | 15,000 | D | ||||||||
Employee Stock Option (Right to Buy) (5) | $ 14.6 | 01/02/2005 | 01/01/2014 | Common Stock | 6,000 | 6,000 | D | ||||||||
LSAR (5) | $ 14.6 | (5) | (5) | Common Stock | 6,000 | 6,000 | D | ||||||||
Employee Stock Option (Right to Buy) (5) | $ 14.53 | 02/09/2004 | 02/08/2014 | Common Stock | 606 | 606 | D | ||||||||
LSAR (5) | $ 14.53 | (5) | (5) | Common Stock | 606 | 606 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Arvidson Scott E KANSAS CITY SOUTHERN PO BOX 219335 KANSAS CITY, MO 64121 |
Executive Vice President & CIO |
Brian P. Banks, Attorney-in-fact | 02/27/2009 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | These shares represent performance shares that were earned on February 26, 2009, when the KCS Compensation and Organization Committee determined the level at which the 2008 performance goals met. These performance shares will not vest until January 17, 2010 contingent upon continued employment by the reporting person through that date. With respect to these shares, the reporting person does not have the right to vote, receive, or be entitled to receive, cash or non-cash dividends or any other beneficial rights as a stockholder of the company. |
(2) | Includes 250 shares acquired on January 1, 2009 through the KCS Employee Stock Purchase Plan and 10,489 performance shares that have been earned by the reporting person under KCS's 2007-2009 long-term incentive plan with respect to the 2007 and 2008 performance periods. These performance shares will not vest until January 17, 2010 contingent upon continued employment by the reporting person through that date. With respect to these performance shares, the reporting person does not have the right to vote, receive, or be entitled to receive, cash or non-cash dividends or any other beneficial rights as a shareholder of the Company. |
(3) | 3,116.085 shares have accrued to the reporting person's account under the KCS Employee Stock Ownership Plan. |
(4) | 10,731.031 shares have accrued to the reporting person's account under the KCS 401(k) and Profit Sharing Plan. |
(5) | 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. |