0001209191-15-029179.txt : 20150325 0001209191-15-029179.hdr.sgml : 20150325 20150325160542 ACCESSION NUMBER: 0001209191-15-029179 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150211 FILED AS OF DATE: 20150325 DATE AS OF CHANGE: 20150325 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CSX CORP CENTRAL INDEX KEY: 0000277948 STANDARD INDUSTRIAL CLASSIFICATION: RAILROADS, LINE-HAUL OPERATING [4011] IRS NUMBER: 621051971 STATE OF INCORPORATION: VA FISCAL YEAR END: 1228 BUSINESS ADDRESS: STREET 1: 500 WATER STREET STREET 2: 15TH FLOOR CITY: JACKSONVILLE STATE: FL ZIP: 32202 BUSINESS PHONE: 9043593200 MAIL ADDRESS: STREET 1: 500 WATER STREET STREET 2: 15TH FLOOR CITY: JACKSONVILLE STATE: FL ZIP: 32202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOODEN CLARENCE W CENTRAL INDEX KEY: 0001278541 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-08022 FILM NUMBER: 15724786 4/A 1 doc4a.xml FORM 4/A SUBMISSION X0306 4/A 2015-02-11 2015-02-13 0 0000277948 CSX CORP CSX 0001278541 GOODEN CLARENCE W 500 WATER STREET JACKSONVILLE FL 32202 0 1 0 0 EVP & CCO Common Stock 97618 D Common Stock 358 I CSX Corporation 401(k) Plan Common Stock 164274 I Corkie T. Gooden Revocable Trust Common Stock 55000 I Clarence W. Gooden Irrevocable Trust Common Stock 125000 I Clarence W. Gooden Second Irrevocable Trust Common Stock 111278 I Clarence W. Gooden Revocable Trust Phantom Stock 2015-03-13 4 A 0 252 A Common Stock 252 252 I Executive Deferred Compensation Plan By Trustee, CSX Tax Savings Thrift Plan. The number reflects equivalent shares of cash value held in CSX Stock Fund, which amounts will fluctuate dependent upon daily net asset value of the fund. These shares are held in a Trust for the Reporting Person's spouse. The Reporting Person's spouse is the Trustee of the Trust. The Reporting Person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for the purposes of Section 16 or for any other purpose. By Trustee, Clarence W. Gooden. Each unit of phantom stock is the economic equivalent of one share of Company common stock. Units of phantom stock become payable, in cash, consistent with the Reporting Person's distribution election made at the time of deferral. As a result of the loss of the historical transaction details, the Reporting Person is unable to provide the date of the earliest transaction. Accordingly, the date of the last previously reported transaction was utilized. Includes units of phantom stock credited to the Reporting Person's account as a result of the dividend reinvestment feature of the CSX Executive Deferred Compensation Plan (the "Plan"). Prior to 2007, the Reporting Person deferred a portion of his cash compensation under the Plan. Pursuant to the plan, the deferred cash was notionally invested into a fund that tracks the value of CSX common stock. At the time of the Reporting Person's initial election and subsequent deferrals, the Company relied upon a third-party vendor to document the timing of each deferral. The Company has since stopped using such vendor. In the process of moving this responsibility to a new third-party, the information regarding the timing of deferrals was lost. Since 2007, the Reporting Person has not deferred any portion of his cash compensation into investments that could be deemed phantom stock other than as a result of dividend reinvestments under the Plan. Price of each unit of phantom stock was determined at the time of the applicable deferral pursuant to the Plan; therefore, the units have been acquired at various prices. The prices at which the units were acquired is indeterminable. As the result of an administrative oversight by the Company, the Reporting Person did not timely file a Form 4 for any of the Reporting Person's cash deferrals under the Plan. By Trustee, CSX Corporation Executive Deferred Compensation Plan. /s/ Mark D. Austin, Attorney-in-Fact 2015-03-25