Grafton Suzanne M's Form 4 filing
Kansas City Southern (KSU) · filed Oct 27, 2021
- Accession no.
- 0000054480-21-000230
- Filed
- Oct 27, 2021
- Trade date
- Oct 26, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 4 derivative transactions. Open-market sales total $1.04M. It was filed 1 day after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Grafton Suzanne MCIK 0001712060 | Officer (VP & Chief Accounting Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 26, 2021 | Common Stock | MOption exerciseAcquired | +394 | $119.35 | +$47,023.9 | 11,304 | Direct | |
| Oct 26, 2021 | Common Stock | MOption exerciseAcquired | +1,262 | $105.83 | +$133,557.46 | 12,566 | Direct | |
| Oct 26, 2021 | Common Stock | MOption exerciseAcquired | +1,243 | $110.13 | +$136,891.59 | 13,809 | Direct | |
| Oct 26, 2021 | Common Stock | MOption exerciseAcquired | +502 | $171.86 | +$86,273.72 | 14,311 | Direct | |
| Oct 26, 2021 | Common Stock | SSaleDisposed | −3,401 | $305.30F1 | −$1,038,325.3 | 10,910 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 26, 2021 | Common Stock | MOption exerciseDisposed | −394 | $0.00 | $0 | 0 | Direct | |
| Oct 26, 2021 | Common Stock | MOption exerciseDisposed | −1,262 | $0.00 | $0 | 0 | Direct | |
| Oct 26, 2021 | Common Stock | MOption exerciseDisposed | −1,243 | $0.00 | $0 | 621 | Direct | |
| Oct 26, 2021 | Common Stock | MOption exerciseDisposed | −502 | $0.00 | $0 | 1,003 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
The price in Column 4 is a weighted average price. The prices actually received ranged from $305.20 to $305.39. 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.
Referenced by the price of 1 transaction in Table I.