-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, UDidmL1nohzNrCh/P7OE1qcQYMJ7hivxRc14y4LV3HdiKPHd0UJym4X+Dx3PLdUt g2Pa/hXnLNdwubaMNqzgjw== 0000054480-11-000046.txt : 20110224 0000054480-11-000046.hdr.sgml : 20110224 20110224161334 ACCESSION NUMBER: 0000054480-11-000046 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110223 FILED AS OF DATE: 20110224 DATE AS OF CHANGE: 20110224 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HAVERTY MICHAEL R CENTRAL INDEX KEY: 0001224434 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04717 FILM NUMBER: 11636425 MAIL ADDRESS: STREET 1: C/O KANSAS CITY SOUTHERN STREET 2: 427 WEST 12TH STREET CITY: KANSAS CITY STATE: MO ZIP: 64105 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: KANSAS CITY SOUTHERN CENTRAL INDEX KEY: 0000054480 STANDARD INDUSTRIAL CLASSIFICATION: RAILROADS, LINE-HAUL OPERATING [4011] IRS NUMBER: 440663509 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 427 W 12TH STREET CITY: KANSAS CITY STATE: MO ZIP: 64105 BUSINESS PHONE: 8169831303 MAIL ADDRESS: STREET 1: PO BOX 219335 CITY: KANSAS CITY STATE: MO ZIP: 64121 FORMER COMPANY: FORMER CONFORMED NAME: KANSAS CITY SOUTHERN INDUSTRIES INC DATE OF NAME CHANGE: 19920703 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2011-02-23 0000054480 KANSAS CITY SOUTHERN KSU 0001224434 HAVERTY MICHAEL R KANSAS CITY SOUTHERN PO BOX 219335 KANSAS CITY MO 64121-9335 1 1 0 0 Executive Chairman Common Stock 2011-02-10 5 G 0 10478 0 D 528087 D Common Stock 2011-02-23 4 A 0 7099 0 A 535186 D Common Stock 2011-02-10 5 G 0 9522 0 D 57457 I Held by spouse Common Stock 19973.704 I Held by 401(k) and P/S Plan Common Stock 29747.051 I Held by ESOP Employee Stock Option (Right to Buy) 13.42 2002-02-06 2012-02-05 Common Stock 13207 13207 D LSAR 13.42 Common Stock 13207 13207 D Employee Stock Option (Right to Buy) 12.55 2003-01-16 2013-01-15 Common Stock 15901 15901 D LSAR 12.55 Common Stock 15901 15901 D Employee Stock Option (Right to Buy) 12.55 2008-01-16 2013-01-15 Common Stock 90000 90000 D LSAR 12.55 Common Stock 90000 90000 D Employee Stock Option (Right to Buy) 14.60 2005-01-02 2014-01-01 Common Stock 90000 90000 D LSAR 14.60 Common Stock 90000 90000 D Employee Stock Option (Right to Buy) 14.53 2004-02-09 2014-02-08 Common Stock 13689 13689 D LSAR 14.53 Common Stock 13689 13689 D Employee Stock Option (Right to Buy) 35.41 2013-03-01 2020-02-29 Common Stock 49200 49200 D Employee Stock Option (Right to Buy) 52.62 2011-02-23 4 A 0 15700 0 A 2021-02-22 Common Stock 15700 15700 D 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. Prior to March 1, 2013, this option may become exercisable in 1/3 increments if the daily closing price of Kansas City Southern's common stock on the New York Stock Exchange is greater than or equal to $38.95, $42.85, and $47.14, respectively, for at least 30 consecutive trading days. The first target was met and 16,400 of these options became exercisable on November 19, 2010. The second target was met and 16,400 of these options became exercisable on December 8, 2010. The third target was met and 16,400 of these options became exercisable on January 7, 2011. These options become exercisable in three equal installments beginning on the first anniversary of the date of grant. Brian P. Banks, Attorney-in-fact 2011-02-24 -----END PRIVACY-ENHANCED MESSAGE-----