Warren K. Erdman - Oct 27, 2021 Form 4 Insider Report for KANSAS CITY SOUTHERN (KSU)

Role
Executive Vice President
Signature
Julie D. Powell, Attorney-in-fact
Stock symbol
KSU
Transactions as of
Oct 27, 2021
Transactions value $
-$348,768
Form type
4
Date filed
10/28/2021, 05:06 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 $225K +3.36K +6.11% $66.99 58.4K Oct 27, 2021 Direct F1
transaction KSU Common Stock Sale -$574K -1.88K -3.21% $305.80 56.5K Oct 27, 2021 Direct F2
holding KSU Common Stock 1.08K Oct 27, 2021 Held 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 -3.36K -100% $0.00* 0 Oct 27, 2021 Common Stock 3.36K $66.99 Direct F4
holding KSU Employee Stock Option (Right to Buy) 2.62K Oct 27, 2021 Common Stock 2.62K $97.77 Direct F4
holding KSU Employee Stock Option (Right to Buy) 2.78K Oct 27, 2021 Common Stock 2.78K $94.23 Direct F4
holding KSU Employee Stock Option (Right to Buy) 2.67K Oct 27, 2021 Common Stock 2.67K $119.35 Direct F4
holding KSU Employee Stock Option (Right to Buy) 5.23K Oct 27, 2021 Common Stock 5.23K $82.71 Direct F4
holding KSU Employee Stock Option (Right to Buy) 4.92K Oct 27, 2021 Common Stock 4.92K $86.89 Direct F4
holding KSU Employee Stock Option (Right to Buy) 4.22K Oct 27, 2021 Common Stock 4.22K $105.83 Direct F4
holding KSU Employee Stock Option (Right to Buy) 4.15K Oct 27, 2021 Common Stock 4.15K $110.13 Direct F4
holding KSU Employee Stock Option (Right to Buy) 3.4K Oct 27, 2021 Common Stock 3.4K $171.86 Direct F4
holding KSU Employee Stock Option (Right to Buy) 2.43K Oct 27, 2021 Common Stock 2.43K $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 acquired under the KCS Employee Stock Purchase Plan on June 30, 2021.
F2 The price in Column 4 is a weighted average price. The prices actually received ranged from $305.7939 to $305.8050. 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 5.781 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.