Kansas City Southern (KSU) Form 4 KANSAS CITY SOUTHERN / Delano Jose Guillermo Zozaya ownership change

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:	3235-0287
Estimated average burden
hours per response:	0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Zozaya Delano Jose Guillermo

(Last) (First) (Middle)

KANSAS CITY SOUTHERN

PO BOX 219335

(Street)

KANSAS CITY MO 64121

(City) (State) (Zip)

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

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

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
President & Exec Rep of Sub

3. Date of Earliest Transaction (Month/Day/Year)
01/23/2020

4. 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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	01/23/2020		M		13,700	A	$35.41	58,483	D
Common Stock	01/23/2020		S		13,700	D	$164.24	44,783	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Employee Stock Option (Right to Buy)	$35.41	01/23/2020		M			13,700	03/01/2013(1)	02/29/2020	Common Stock	13,700	$0	0	D
Employee Stock Option (Right to Buy)	$52.62							(2)	02/22/2021	Common Stock	6,950		6,950	D
Employee Stock Option (Right to Buy)	$66.99							(2)	02/21/2022	Common Stock	4,690		4,690	D
Employee Stock Option (Right to Buy)	$97.77							(2)	02/20/2023	Common Stock	3,666		3,666	D
Employee Stock Option (Right to Buy)	$94.23							(2)	02/19/2024	Common Stock	3,876		3,876	D
Employee Stock Option (Right to Buy)	$119.35							(2)	02/17/2025	Common Stock	3,726		3,726	D
Employee Stock Option (Right to Buy)	$82.71							(2)	02/18/2026	Common Stock	4,972		4,972	D
Employee Stock Option (Right to Buy)	$86.89							(2)	02/16/2027	Common Stock	2,270		2,270	D
Employee Stock Option (Right to Buy)	$105.83							(2)	03/05/2028	Common Stock	2,544		2,544	D
Employee Stock Option (Right to Buy)	$110.13							(2)	03/04/2029	Common Stock	2,452		2,452	D

Explanation of Responses:

1. 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 4,567 of these options became exercisable on November 19, 2010. The second target was met and 4,567 of these options became exercisable on December 8, 2010. The third target was met and 4,566 of these options became exercisable on January 7, 2011.

2. These options become exercisable in three equal installments beginning on the first anniversary of the date of grant.

Remarks:

	Julie D. Powell, Attorney-in-fact	01/24/2020
	** 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.