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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GIVENS GREGG WM 333 WEST 11TH STREET KANSAS CITY, MO 64105 |
Sr VP, CFO & Treasurer |
Randall D. Young for Gregg Wm. Givens by power of attorney | 03/14/2017 | |
**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) | Shares are allocated to the Reporting Persons account in The Employee Stock Ownership Plan of Issuer. The acquisition is exempt pursuant to Rule 16b-3(c). |
(2) | On March 10, 2017, dividend equivalents were received automatically pursuant to the terms and conditions of applicable award agreements. The dividend equivalents were granted in connection with Restricted Stock Units (RSUs) granted on February 25, 2014, July 29, 2014, February 23, 2015, February 26, 2016, and February 24, 2017 and Performance Stock Units (PSUs) granted on February 25, 2014, as well as on the dividend equivalents previously received in connection therewith. The dividend equivalents convert to one share of common stock based on the vesting or performance criteria in the underlying RSU or PSU. |
(3) | The Compensation Committee of the Issuers Board of Directors allows the withholding of shares (Tax Withholding Transactions) to satisfy the Reporting Persons income tax obligation from a vesting of Restricted Stock Units (RSUs), Performance Stock Units (PSUs) and Dividend Equivalents (DEs). The Committee pre-approves, at the time of grant, the Tax Withholding Transactions. The Reporting Person holds RSUs, PSUs and DEs reported in other Section 16 filings. This form reports the number of shares retained in the March 10, 2017 Tax Withholding Transactions. |