0000054480-12-000124.txt : 20120808 0000054480-12-000124.hdr.sgml : 20120808 20120808145148 ACCESSION NUMBER: 0000054480-12-000124 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120807 FILED AS OF DATE: 20120808 DATE AS OF CHANGE: 20120808 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Starling David L CENTRAL INDEX KEY: 0001437912 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04717 FILM NUMBER: 121016501 MAIL ADDRESS: STREET 1: PO BOX 219335 CITY: KANSAS CITY STATE: MO ZIP: 64121 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 X0306 4 2012-08-07 0000054480 KANSAS CITY SOUTHERN KSU 0001437912 Starling David L KANSAS CITY SOUTHERN PO BOX 219335 KANSAS CITY MO 64121-9335 1 1 0 0 President & CEO Common Stock 2012-08-07 4 F 0 4345 73.46 D 106406 D Employee Stock Option (Right to Buy) 51.55 2013-07-30 2018-07-29 Common Stock 3880 3880 D LSAR 51.55 Common Stock 3880 3880 D Employee Stock Option (Right to Buy) 35.41 2013-03-01 2020-02-29 Common Stock 20600 20600 D Employee Stock Option (Right to Buy) 52.62 2021-02-22 Common Stock 21900 21900 D Employee Stock Option (Right to Buy) 66.99 2022-02-21 Common Stock 16447 16447 D 11,194 of these shares represent performance shares that were earned on February 22, 2012 when the KCS Compensation and Organization Committee determined that the 2011 performance goals were met. These performance shares will not vest until February 28, 2014. With respect to these shares, the reporting person does not have the right to vote, receive, or be entitled to receive, cash or non-cash dividends or any other beneficial rights as a shareholder of the Company. Limited Stock Appreciation Rights ("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 6,867 of these options became exercisable on November 19, 2010. The second target was met and 6,867 of these options became exercisable on December 8, 2010. The third target was met and 6,866 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. Julie D. Powell, Attorney-in-fact 2012-08-08