Adam J Godderz Form 3 KANSAS CITY SOUTHERN / Adam J Godderz ownership change

SEC Form 3

FORM 3

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
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Godderz Adam J

(Last) (First) (Middle)

427 W 12TH STREET

(Street)

KANSAS CITY MO 64105

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
01/01/2019

3. Issuer Name and Ticker or Trading Symbol
KANSAS CITY SOUTHERN [ KSU ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
General Counsel & Corp. Sec.

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	2,637	D
Common Stock	1,383.446	I	By 401(k)/PS Plan

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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: 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
Employee Stock Option (Right to Buy)	(2)	02/21/2022	Common Stock	446	66.99	D
Employee Stock Option (Right to Buy)	(3)	02/20/2023	Common Stock	604	97.77	D
Employee Stock Option (Right to Buy)	(4)	02/19/2024	Common Stock	631	94.23	D
Employee Stock Option (Right to Buy)	(5)	02/17/2025	Common Stock	607	119.35	D
Employee Stock Option (Right to Buy)	(6)	02/18/2026	Common Stock	1,218	82.71	D
Employee Stock Option (Right to Buy)	(7)	02/16/2027	Common Stock	1,145	86.89	D
Employee Stock Option (Right to Buy)	(8)	03/05/2028	Common Stock	982	105.83	D

Explanation of Responses:

1. These options became exercisable in three equal annual installments on February 23, 2012, February 23, 2013 and February 23, 2014.

2. These options became exercisable in three equal annual installments on February 22, 2013, February 22, 2014 and February 22, 2015.

3. These options became exercisable in three equal annual installments on February 21, 2014, February 21, 2015 and February 21, 2016.

4. These options became exercisable in three equal annual installments on February 20, 2015, February 20, 2016 and February 20, 2017.

5. These options became exercisable in three equal annual installments on February 18, 2016, February 18, 2017 and February 18, 2018.

6. 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.

7. 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.

8. These options will become exercisable in three equal annual installments on March 6, 2019, March 6, 2020 and March 6, 2021, respectively.

Remarks:

	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 5 (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).
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