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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 | ||||||||
Option (Right to Buy) (1) | $ 13.34 | 09/04/2002 | 09/03/2011 | Common Stock | 20,000 | 20,000 | D | ||||||||
LSAR (1) | $ 13.34 | (1) | (1) | Common Stock | 20,000 | 20,000 | D | ||||||||
Option (Right to Buy) (1) | $ 14.78 | 07/19/2003 | 07/18/2012 | Common Stock | 30,000 | 30,000 | D | ||||||||
LSAR (1) | $ 14.78 | (1) | (1) | Common Stock | 30,000 | 30,000 | D | ||||||||
Option (Right to Buy) (1) | $ 12.9 | 10/01/2007 | 09/30/2012 | Common Stock | 80,000 | 80,000 | D | ||||||||
LSAR (1) | $ 12.9 | (1) | (1) | Common Stock | 80,000 | 80,000 | D | ||||||||
Option (Right to Buy) (1) | $ 14.6 | 11/07/2007 | 11/06/2012 | Common Stock | 2,000 | 2,000 | D | ||||||||
LSAR (1) | $ 14.6 | (1) | (1) | Common Stock | 2,000 | 2,000 | D | ||||||||
Option (Right to Buy) (1) | $ 12.55 | (2) | 01/15/2013 | Common Stock | 2,996 | 2,996 | D | ||||||||
LSAR (1) | $ 12.55 | (1) | (1) | Common Stock | 2,996 | 2,996 | D | ||||||||
Option (Right to Buy) (1) | $ 12.55 | 01/16/2008 | 01/15/2013 | Common Stock | 30,000 | 30,000 | D | ||||||||
LSAR (1) | $ 12.55 | (1) | (1) | Common Stock | 30,000 | 30,000 | D | ||||||||
Option (Right to Buy) (1) | $ 14.6 | 01/02/2005 | 01/01/2014 | Common Stock | 20,000 | 20,000 | D | ||||||||
LSAR (1) | $ 14.6 | (1) | (1) | Common Stock | 20,000 | 20,000 | D | ||||||||
Option (Right to Buy) (1) | $ 14.53 | (3) | 02/08/2014 | Common Stock | 2,771 | 2,771 | D | ||||||||
LSAR (1) | $ 14.53 | (1) | (1) | Common Stock | 2,771 | 2,771 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HEAVIN JERRY W KANSAS CITY SOUTHERN PO BOX 219335 KANSAS CITY, MO 64121-9335 |
Sr. Vice President of Sub. |
Brian P. Banks, Attorney-in-fact | 03/17/2008 | |
**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) | 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. |
(2) | These options are exercisable in installments: 600 on June 23, 2003, 600 on June 23, 2004, 600 on June 23, 2005 and 1,196 on June 23, 2006. |
(3) | These options are exercisable in installments: 554 on February 9, 2004, 554 on June 23, 2004, 554 on June 23, 2005 and 1109 on June 23, 2006. |
(4) | 1.019 shares have accrued to the reporting person's account under the KCS Employee Stock Ownership Plan. |
(5) | 1,391.862 shares have accrued to the reporting person's account under the KCS 401(k) and Profit Sharing Plan. |
(6) | Includes 3,806 performance shares that were earned on February 28, 2008 when the KCS Compensation and Organization Committee determined that the 2007 performance goals were 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 shareholder of the Company. |