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

Role
President & CEO
Signature
Julie D. Powell, Attorney-in-fact
Stock symbol
KSU
Transactions as of
Oct 21, 2021
Transactions value $
-$1,101,704
Form type
4
Date filed
10/22/2021, 04:53 PM
Next filing
Dec 15, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction KSU Common Stock Options Exercise $314K +4.69K +3.74% $66.99 130K Oct 21, 2021 Direct F1
transaction KSU Common Stock Sale -$1.42M -4.69K -3.6% $301.89 126K Oct 21, 2021 Direct F2
holding KSU Common Stock 261 Oct 21, 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 -4.69K -100% $0.00* 0 Oct 21, 2021 Common Stock 4.69K $66.99 Direct F4
holding KSU Employee Stock Option (Right to Buy) 3.67K Oct 21, 2021 Common Stock 3.67K $97.77 Direct F4
holding KSU Employee Stock Option (Right to Buy) 3.88K Oct 21, 2021 Common Stock 3.88K $94.23 Direct F4
holding KSU Employee Stock Option (Right to Buy) 5.65K Oct 21, 2021 Common Stock 5.65K $119.35 Direct F4
holding KSU Employee Stock Option (Right to Buy) 13.1K Oct 21, 2021 Common Stock 13.1K $82.71 Direct F4
holding KSU Employee Stock Option (Right to Buy) 29.8K Oct 21, 2021 Common Stock 29.8K $86.89 Direct F4
holding KSU Employee Stock Option (Right to Buy) 29.8K Oct 21, 2021 Common Stock 29.8K $105.83 Direct F4
holding KSU Employee Stock Option (Right to Buy) 29.4K Oct 21, 2021 Common Stock 29.4K $110.13 Direct F4
holding KSU Employee Stock Option (Right to Buy) 26K Oct 21, 2021 Common Stock 26K $171.86 Direct F4
holding KSU Employee Stock Option (Right to Buy) 20.4K Oct 21, 2021 Common Stock 20.4K $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.