Shaw Alan H.'s Form 4 filing
Norfolk Southern Corp (NSC) · filed Oct 1, 2024
- Accession no.
- 0001225208-24-008899
- Filed
- Oct 1, 2024
- Trade date
- Sep 13, 2024
- Filing delay
- 18 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 7 non-derivative transactions and 6 derivative transactions. Open-market sales total $13.1M. It was filed 18 days after the trade, past the 2-business-day deadline.
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 |
|---|---|
| Shaw Alan H.CIK 0001643244 | Other: Former CEO / Director |
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 |
|---|---|---|---|---|---|---|---|---|
| Sep 13, 2024 | Common Stock | MOption exerciseAcquired | +20,210 | $70.32 | +$1,421,167.2 | 55,255 | Direct | |
| Sep 13, 2024 | Common Stock | MOption exerciseAcquired | +13,220 | $120.25 | +$1,589,705 | 68,475 | Direct | |
| Sep 13, 2024 | Common Stock | MOption exerciseAcquired | +8,055 | $241.18 | +$1,942,704.9 | 76,530 | Direct | |
| Sep 13, 2024 | Common Stock | MOption exerciseAcquired | +3,480 | $149.58 | +$520,538.4 | 80,010 | Direct | |
| Sep 13, 2024 | Common Stock | MOption exerciseAcquired | +3,400 | $165.79 | +$563,686 | 83,410 | Direct | |
| Sep 13, 2024 | Common Stock | MOption exerciseAcquired | +2,960 | $214.50 | +$634,920 | 86,370 | Direct | |
| Sep 13, 2024 | Common Stock | SSaleDisposed | −51,325 | $255.98 | −$13,138,173.5 | 35,045 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 13, 2024 | Common Stock | MOption exerciseDisposed | −20,210 | $255.98F1 | −$5,173,355.8 | 0 | Direct | |
| Sep 13, 2024 | Common Stock | MOption exerciseDisposed | −13,220 | $255.98F1 | −$3,384,055.6 | 0 | Direct | |
| Sep 13, 2024 | Common Stock | MOption exerciseDisposed | −3,480 | $255.98F1 | −$890,810.4 | 0 | Direct | |
| Sep 13, 2024 | Common Stock | MOption exerciseDisposed | −3,400 | $255.93F1 | −$870,162 | 0 | Direct | |
| Sep 13, 2024 | Common Stock | MOption exerciseDisposed | −2,960 | $255.98F1 | −$757,700.8 | 0 | Direct | |
| Sep 13, 2024 | Common Stock | MOption exerciseDisposed | −8,055 | $255.98 | −$2,061,918.9 | 0 | 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
Reflects exercise and resulting cancellation of stock option, in a single transaction, exempt from Section 16(b). The stock option was granted under the Long-Term Incentive Plan (a rule 16b-3 plan).
Referenced by the price of 5 transactions in Table II.