SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K/A
AMENDMENT NO. 1
(Mark One)
[X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES
EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 1999
[ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES
EXCHANGE ACT OF 1934
For the transition period from __________ to _____________
Commission file number 1-4717
KANSAS CITY SOUTHERN INDUSTRIES, INC.
(Exact name of Company as specified in its charter)
Delaware 44-0663590
(State or other jurisdiction of (I.R.S. Employer
incorporation or organization) Identification No.)
114 West 11th Street, Kansas City, Missouri 64105
(Address of principal executive offices) (Zip Code)
Company's telephone number, including area code (816) 983-1303
Securities registered pursuant to Section 12(b) of the Act:
Name of each exchange on
Title of Each class which registered
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Preferred Stock, Par Value $25 Per New York Stock Exchange
Share, 4%, Noncumulative
Common Stock, $.01 Per Share Par Value New York Stock Exchange
Securities registered pursuant to Section 12 (g) of the Act: None
Indicate by check mark whether the Company (1) has filed all reports required
to be filed by Section 13 or 15 (d) of the Securities Exchange Act of 1934
during the preceding 12 months (or for such shorter period that the Company
was required to file such reports), and (2) has been subject to such filing
requirements for the past 90 days.
YES [X] NO [ ]
Indicate by check mark if disclosure of delinquent filers pursuant to Item
405 of Regulation S-K is not contained herein, and will not be contained, to
the best of Company's knowledge, in definitive proxy or information
statements incorporated by reference in Part III of this Form 10-K or any
amendment to this Form 10-K. [ ]
Company Stock. The Company's common stock is listed on the New York Stock
Exchange under the symbol "KSU." As of March 31, 2000, 111,399,354 shares of
common stock and 242,170 shares of voting Preferred stock were outstanding.
On such date, the aggregate market value of the voting common and Preferred
stock held by non-affiliates was $9,577,014,534 (amount computed based on
closing prices of Preferred and common stock on New York Stock Exchange).
DOCUMENTS INCORPORATED BY REFERENCE:
Portions of the following documents are incorporated herein by reference into
Part of the Report as indicated:
Part of Report
Document into which incorporated
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Company's Definitive Proxy Statement for the Parts I, III
2000 Annual Meeting of Shareholders, which will be
filed no later than December 31, 1999
Explanatory Note
- ----------------
The Company hereby amends Part IV, Item 14 of its Form 10-K for the year
ended December 31, 1999, solely for the purpose of filing the opinion of
counsel which was referenced in the Company's initial 10-K. Notwithstanding
the filing of this opinion of counsel, the issue of whether the Company may
continue to consolidate Janus Capital Corporation remains under discussion
with the Staff of the Securities and Exchange Commission.
Part IV
ITEM 14. EXHIBITS, FINANCIAL STATEMENT SCHEDULES AND REPORTS ON FORM 8-K
Item 14(a)(3) EXHIBITS
The separate section filed as part of the Annual report on 10-K under
the caption "List of Exhibits" is hereby amended to add the following exhibit
which is filed herewith.
EXHIBIT NUMBER DESCRIPTION
-------------- -----------
99.2 Opinion Letter of Rothgerber Johnson
& Lyons LLP dated April 20, 2000.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the
Company has duly caused this report to be signed on its behalf by the
undersigned thereunto duly authorized and in the capacities indicated on
April 24, 2000.
Kansas City Southern Industries, Inc.
By: /s/ Landon H. Rowland
----------------------------------
Landon H. Rowland
Chairman, President, Chief
Executive Officer and Director
INDEX
NUMBER DESCRIPTION
- ------ -----------
99.2 Opinion Letter of Rothgerber Johnson & Lyons LLP dated
April 20, 2000.