UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right to Buy) | (1) | 02/22/2021 | Common Stock | 550 | $52.62 | D |
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Employee Stock Option (Right to Buy) | (2) | 02/21/2022 | Common Stock | 446 | $66.99 | D |
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Employee Stock Option (Right to Buy) | (3) | 02/20/2023 | Common Stock | 604 | $97.77 | D |
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Employee Stock Option (Right to Buy) | (4) | 02/19/2024 | Common Stock | 631 | $94.23 | D |
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Employee Stock Option (Right to Buy) | (5) | 02/17/2025 | Common Stock | 607 | $119.35 | D |
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Employee Stock Option (Right to Buy) | (6) | 02/18/2026 | Common Stock | 1,218 | $82.71 | D |
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Employee Stock Option (Right to Buy) | (7) | 02/16/2027 | Common Stock | 1,145 | $86.89 | D |
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Employee Stock Option (Right to Buy) | (8) | 03/05/2028 | Common Stock | 982 | $105.83 | D |
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These options became exercisable in three equal annual installments on February 23, 2012, February 23, 2013 and February 23, 2014. | |
These options became exercisable in three equal annual installments on February 22, 2013, February 22, 2014 and February 22, 2015. | |
These options became exercisable in three equal annual installments on February 21, 2014, February 21, 2015 and February 21, 2016. | |
These options became exercisable in three equal annual installments on February 20, 2015, February 20, 2016 and February 20, 2017. | |
These options became exercisable in three equal annual installments on February 18, 2016, February 18, 2017 and February 18, 2018. | |
These options become exercisable in three equal annual installments. The first and second installments became exercisable on February 19, 2017 and February 19, 2018, respectively. The third installment will become exercisable on February 19, 2019. | |
These options become exercisable in three equal annual installments. The first installment became exercisable on February 17, 2018. The second and third installments will become exercisable on February 17, 2019 and February 17, 2020, respectively. | |
These options will become exercisable in three equal annual installments on March 6, 2019, March 6, 2020 and March 6, 2021, respectively. |
Signatures | ||
Adam J. Godderz | 01/07/2019 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
LIMITED POWER OF ATTORNEY State of Missouri) )ss County of Jackson) I, Adam J. Godderz, the undersigned, effective as of the date hereof, and to continue until I am no longer subject to Section 16 reporting, do hereby constitute and appoint Julie D. Powell, my true and lawful attorney-in-fact, solely for the purpose of preparing and executing Forms 3, 4 and 5 for and on my behalf and filing such Forms with the Securities and Exchange Commission and the New York Stock Exchange in compliance with Section 16 of the Securities Exchange Act of 1934 and rules promulgated thereunder in connection with holdings of and transactions in securities or derivative securities of Kansas City Southern. I acknowledge that my appointment of this attorney-in-fact does not eliminate my responsibility to comply with Section 16 of the Securities Exchange Act of 1934. IN WITNESS WHEREOF, I have signed this Limited Power of Attorney this 7th day of January, 2019. /s/ Adam J. Godderz Adam J. Godderz Personally appeared the above-named Adam J. Godderz and acknowledged the above Limited Power of Attorney to be his free act and deed. IN WITNESS WHEREOF, I hereunto set my seal this 7th day of January, 2019. /s/ Barbara L. Blevins Notary Public My Commission Expires: October 4, 2019