Patrick J. Ottensmeyer - 21 Oct 2021 Form 4 Insider Report for KANSAS CITY SOUTHERN

Role
President & CEO
Signature
Julie D. Powell, Attorney-in-fact
Issuer symbol
N/A
Transactions as of
21 Oct 2021
Net transactions value
-$1,101,704
Form type
4
Filing time
22 Oct 2021, 16:53:45 UTC
Next filing
15 Dec 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction KSU Common Stock Options Exercise $314,183 +4,690 +3.7% $66.99 130,245 21 Oct 2021 Direct F1
transaction KSU Common Stock Sale $1,415,887 -4,690 -3.6% $301.89 125,555 21 Oct 2021 Direct F2
holding KSU Common Stock 261 21 Oct 2021 By 401(k) & P/S Plan F3

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction KSU Employee Stock Option (Right to Buy) Options Exercise $0 -4,690 -100% $0.000000* 0 21 Oct 2021 Common Stock 4,690 $66.99 Direct F4
holding KSU Employee Stock Option (Right to Buy) 3,666 21 Oct 2021 Common Stock 3,666 $97.77 Direct F4
holding KSU Employee Stock Option (Right to Buy) 3,876 21 Oct 2021 Common Stock 3,876 $94.23 Direct F4
holding KSU Employee Stock Option (Right to Buy) 5,652 21 Oct 2021 Common Stock 5,652 $119.35 Direct F4
holding KSU Employee Stock Option (Right to Buy) 13,120 21 Oct 2021 Common Stock 13,120 $82.71 Direct F4
holding KSU Employee Stock Option (Right to Buy) 29,763 21 Oct 2021 Common Stock 29,763 $86.89 Direct F4
holding KSU Employee Stock Option (Right to Buy) 29,821 21 Oct 2021 Common Stock 29,821 $105.83 Direct F4
holding KSU Employee Stock Option (Right to Buy) 29,358 21 Oct 2021 Common Stock 29,358 $110.13 Direct F4
holding KSU Employee Stock Option (Right to Buy) 25,965 21 Oct 2021 Common Stock 25,965 $171.86 Direct F4
holding KSU Employee Stock Option (Right to Buy) 20,429 21 Oct 2021 Common Stock 20,429 $211.10 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes 124 shares on June 30, 2021 through the KCS Employee Stock Purchase Plan.
F2 The price in Column 4 is a weighted average price. The prices actually received ranged from $301.47 to $302.32. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
F3 Includes 1.3810 shares acquired under the KCS 401(k) and Profit Sharing Plan since the date of the reporting person's last ownership report.
F4 These options become exercisable in three equal installments beginning on the first anniversary of the date of grant.