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<title>ksu-20210324</title></head><body><div style="display:none"><ix:header><ix:hidden><ix:nonNumeric contextRef="ib346b8af44b9468f84abf18b041be488_D20210324-20210324" name="dei:AmendmentFlag" id="id3VybDovL2RvY3MudjEvZG9jOjZkZjUyMzBkNDQzMTQwY2NiZTQxYzAzZGZkN2U1NDJmL3NlYzo2ZGY1MjMwZDQ0MzE0MGNjYmU0MWMwM2RmZDdlNTQyZl80L2ZyYWc6Y2E1MmI0MDQxMTZkNGY2MjgxODM5ZjdiMTY5NGRmNzMvdGFibGU6NTJhM2Y3Njc2OWFiNGFkOWEwZDdjMTFkZGU1ZjdjOGEvdGFibGVyYW5nZTo1MmEzZjc2NzY5YWI0YWQ5YTBkN2MxMWRkZTVmN2M4YV8yLTEtMS0xLTA_5e42c7aa-1c41-46f5-9e5f-ee23d0faa7a6">false</ix:nonNumeric><ix:nonNumeric contextRef="ib346b8af44b9468f84abf18b041be488_D20210324-20210324" name="dei:EntityCentralIndexKey" 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xlink:href="ksu-20210324.xsd"></link:schemaRef></ix:references><ix:resources><xbrli:context id="ib346b8af44b9468f84abf18b041be488_D20210324-20210324"><xbrli:entity><xbrli:identifier scheme="http://www.sec.gov/CIK">0000054480</xbrli:identifier></xbrli:entity><xbrli:period><xbrli:startDate>2021-03-24</xbrli:startDate><xbrli:endDate>2021-03-24</xbrli:endDate></xbrli:period></xbrli:context><xbrli:context id="i23c0d0e0d7964354945bed796f4eef1e_D20210324-20210324"><xbrli:entity><xbrli:identifier scheme="http://www.sec.gov/CIK">0000054480</xbrli:identifier><xbrli:segment><xbrldi:explicitMember dimension="us-gaap:StatementClassOfStockAxis">us-gaap:NoncumulativePreferredStockMember</xbrldi:explicitMember></xbrli:segment></xbrli:entity><xbrli:period><xbrli:startDate>2021-03-24</xbrli:startDate><xbrli:endDate>2021-03-24</xbrli:endDate></xbrli:period></xbrli:context><xbrli:context id="ic40ea93afbda444fb68b7b92ec427bdb_D20210324-20210324"><xbrli:entity><xbrli:identifier scheme="http://www.sec.gov/CIK">0000054480</xbrli:identifier><xbrli:segment><xbrldi:explicitMember dimension="us-gaap:StatementClassOfStockAxis">us-gaap:CommonStockMember</xbrldi:explicitMember></xbrli:segment></xbrli:entity><xbrli:period><xbrli:startDate>2021-03-24</xbrli:startDate><xbrli:endDate>2021-03-24</xbrli:endDate></xbrli:period></xbrli:context></ix:resources></ix:header></div><div id="i6df5230d443140ccbe41c03dfd7e542f_1"></div><div style="min-height:45pt;width:100%"><div><span><br/></span></div></div><div><span><br/></span></div><div><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:99.861%"><tr><td style="width:1.0%"></td><td style="width:17.397%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:17.397%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:17.397%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:17.397%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:24.912%"></td><td style="width:0.1%"></td></tr><tr style="height:3pt"><td colspan="3" style="border-bottom:1pt solid #000000;border-top:1pt solid #000000;padding:0 1pt"></td><td colspan="3" style="border-bottom:1pt solid #000000;border-top:1pt solid #000000;padding:0 1pt"></td><td colspan="3" style="border-bottom:1pt solid #000000;border-top:1pt solid #000000;padding:0 1pt"></td><td colspan="3" style="border-bottom:1pt solid #000000;border-top:1pt solid #000000;padding:0 1pt"></td><td colspan="3" style="border-bottom:1pt solid #000000;border-top:1pt solid #000000;padding:0 1pt"></td></tr></table></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:18pt;font-weight:700;line-height:120%">UNITED STATES</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:18pt;font-weight:700;line-height:120%">SECURITIES AND EXCHANGE COMMISSION</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:700;line-height:120%">WASHINGTON, D.C. 20549</span></div><div style="text-align:center"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:66.944%"><tr><td style="width:1.0%"></td><td style="width:32.717%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:30.435%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:14.667%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:17.781%"></td><td style="width:0.1%"></td></tr><tr style="height:3pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="border-bottom:1pt solid #000000;padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr></table></div><div style="margin-bottom:3pt;margin-top:3pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:18pt;font-weight:700;line-height:120%">FORM <ix:nonNumeric contextRef="ib346b8af44b9468f84abf18b041be488_D20210324-20210324" name="dei:DocumentType" id="id3VybDovL2RvY3MudjEvZG9jOjZkZjUyMzBkNDQzMTQwY2NiZTQxYzAzZGZkN2U1NDJmL3NlYzo2ZGY1MjMwZDQ0MzE0MGNjYmU0MWMwM2RmZDdlNTQyZl8xL2ZyYWc6ZDlmODQ2Yzc5YmYwNGRmZWE3MTU0OTk0ZDk2MWIxNjUvdGV4dHJlZ2lvbjpkOWY4NDZjNzliZjA0ZGZlYTcxNTQ5OTRkOTYxYjE2NV84Ng_765df250-ff40-4476-8be5-467042da18bf">8-K</ix:nonNumeric> </span></div><div style="margin-bottom:3pt;margin-top:3pt;text-align:center"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:66.944%"><tr><td style="width:1.0%"></td><td style="width:32.717%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:30.435%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:14.667%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:17.781%"></td><td style="width:0.1%"></td></tr><tr style="height:3pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000000;padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr></table></div><div style="margin-bottom:6pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:13pt;font-weight:700;line-height:120%">CURRENT REPORT</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:700;line-height:120%">Pursuant to Section 13 or 15(d) of the</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:700;line-height:120%">Securities Exchange Act of 1934</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:7pt;font-weight:700;line-height:120%"> </span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:700;line-height:120%">Date of Report (Date of earliest event reported): <ix:nonNumeric contextRef="ib346b8af44b9468f84abf18b041be488_D20210324-20210324" format="ixt:datemonthdayyearen" name="dei:DocumentPeriodEndDate" id="id3VybDovL2RvY3MudjEvZG9jOjZkZjUyMzBkNDQzMTQwY2NiZTQxYzAzZGZkN2U1NDJmL3NlYzo2ZGY1MjMwZDQ0MzE0MGNjYmU0MWMwM2RmZDdlNTQyZl8xL2ZyYWc6ZDlmODQ2Yzc5YmYwNGRmZWE3MTU0OTk0ZDk2MWIxNjUvdGV4dHJlZ2lvbjpkOWY4NDZjNzliZjA0ZGZlYTcxNTQ5OTRkOTYxYjE2NV8yMzA_d3925d76-e790-4e0f-b4e8-04977db06da2">March 24, 2021</ix:nonNumeric></span></div><div style="text-align:center"><table 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contextRef="ib346b8af44b9468f84abf18b041be488_D20210324-20210324" format="ixt-sec:stateprovnameen" name="dei:EntityIncorporationStateCountryCode" id="id3VybDovL2RvY3MudjEvZG9jOjZkZjUyMzBkNDQzMTQwY2NiZTQxYzAzZGZkN2U1NDJmL3NlYzo2ZGY1MjMwZDQ0MzE0MGNjYmU0MWMwM2RmZDdlNTQyZl8xL2ZyYWc6ZDlmODQ2Yzc5YmYwNGRmZWE3MTU0OTk0ZDk2MWIxNjUvdGFibGU6MzVmZGM2MTc1ZWU1NGQ0YTkyM2VmY2NmY2U2ZjFiOTkvdGFibGVyYW5nZTozNWZkYzYxNzVlZTU0ZDRhOTIzZWZjY2ZjZTZmMWI5OV8wLTAtMS0xLTA_d5c67695-e9cb-4aa2-b52d-9f1975dea106">Delaware</ix:nonNumeric></span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:100%"><ix:nonNumeric contextRef="ib346b8af44b9468f84abf18b041be488_D20210324-20210324" name="dei:EntityFileNumber" 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Roman',sans-serif;font-size:7pt;font-weight:700;line-height:100%">(IRS Employer</span></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:7pt;font-weight:700;line-height:100%">of incorporation)</span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:7pt;font-weight:700;line-height:100%">file number)</span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:7pt;font-weight:700;line-height:100%">Identification Number)</span></td></tr></table></div><div style="text-align:center"><span><br/></span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%"><ix:nonNumeric contextRef="ib346b8af44b9468f84abf18b041be488_D20210324-20210324" name="dei:EntityAddressAddressLine1" id="id3VybDovL2RvY3MudjEvZG9jOjZkZjUyMzBkNDQzMTQwY2NiZTQxYzAzZGZkN2U1NDJmL3NlYzo2ZGY1MjMwZDQ0MzE0MGNjYmU0MWMwM2RmZDdlNTQyZl8xL2ZyYWc6ZDlmODQ2Yzc5YmYwNGRmZWE3MTU0OTk0ZDk2MWIxNjUvdGV4dHJlZ2lvbjpkOWY4NDZjNzliZjA0ZGZlYTcxNTQ5OTRkOTYxYjE2NV8zMDA_65f09501-43bd-45eb-800f-f896975eb544">427 West 12th Street</ix:nonNumeric>, <ix:nonNumeric contextRef="ib346b8af44b9468f84abf18b041be488_D20210324-20210324" name="dei:EntityAddressCityOrTown" id="id3VybDovL2RvY3MudjEvZG9jOjZkZjUyMzBkNDQzMTQwY2NiZTQxYzAzZGZkN2U1NDJmL3NlYzo2ZGY1MjMwZDQ0MzE0MGNjYmU0MWMwM2RmZDdlNTQyZl8xL2ZyYWc6ZDlmODQ2Yzc5YmYwNGRmZWE3MTU0OTk0ZDk2MWIxNjUvdGV4dHJlZ2lvbjpkOWY4NDZjNzliZjA0ZGZlYTcxNTQ5OTRkOTYxYjE2NV8zMDQ_846f5056-a469-4211-ad78-8f9d66b7454d">Kansas City</ix:nonNumeric>, <ix:nonNumeric contextRef="ib346b8af44b9468f84abf18b041be488_D20210324-20210324" format="ixt-sec:stateprovnameen" name="dei:EntityAddressStateOrProvince" id="id3VybDovL2RvY3MudjEvZG9jOjZkZjUyMzBkNDQzMTQwY2NiZTQxYzAzZGZkN2U1NDJmL3NlYzo2ZGY1MjMwZDQ0MzE0MGNjYmU0MWMwM2RmZDdlNTQyZl8xL2ZyYWc6ZDlmODQ2Yzc5YmYwNGRmZWE3MTU0OTk0ZDk2MWIxNjUvdGV4dHJlZ2lvbjpkOWY4NDZjNzliZjA0ZGZlYTcxNTQ5OTRkOTYxYjE2NV8zMDg_39ee5ac0-a152-4b9e-a46f-4a4d4ade5b9d">Missouri</ix:nonNumeric> <ix:nonNumeric contextRef="ib346b8af44b9468f84abf18b041be488_D20210324-20210324" name="dei:EntityAddressPostalZipCode" id="id3VybDovL2RvY3MudjEvZG9jOjZkZjUyMzBkNDQzMTQwY2NiZTQxYzAzZGZkN2U1NDJmL3NlYzo2ZGY1MjMwZDQ0MzE0MGNjYmU0MWMwM2RmZDdlNTQyZl8xL2ZyYWc6ZDlmODQ2Yzc5YmYwNGRmZWE3MTU0OTk0ZDk2MWIxNjUvdGV4dHJlZ2lvbjpkOWY4NDZjNzliZjA0ZGZlYTcxNTQ5OTRkOTYxYjE2NV8zMTE_fc7eaf32-cddd-4af2-85bb-04b77245b35f">64105</ix:nonNumeric> </span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:7pt;font-weight:700;line-height:120%">(Address of principal executive offices) (Zip Code)</span></div><div style="text-align:center"><span><br/></span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%">Registrant&#8217;s telephone number, including area code:</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%">(<ix:nonNumeric contextRef="ib346b8af44b9468f84abf18b041be488_D20210324-20210324" name="dei:CityAreaCode" id="id3VybDovL2RvY3MudjEvZG9jOjZkZjUyMzBkNDQzMTQwY2NiZTQxYzAzZGZkN2U1NDJmL3NlYzo2ZGY1MjMwZDQ0MzE0MGNjYmU0MWMwM2RmZDdlNTQyZl8xL2ZyYWc6ZDlmODQ2Yzc5YmYwNGRmZWE3MTU0OTk0ZDk2MWIxNjUvdGV4dHJlZ2lvbjpkOWY4NDZjNzliZjA0ZGZlYTcxNTQ5OTRkOTYxYjE2NV80MjE_4329a825-ee70-41e3-b6db-58a6d9d3b4c2">816</ix:nonNumeric>) <ix:nonNumeric contextRef="ib346b8af44b9468f84abf18b041be488_D20210324-20210324" name="dei:LocalPhoneNumber" id="id3VybDovL2RvY3MudjEvZG9jOjZkZjUyMzBkNDQzMTQwY2NiZTQxYzAzZGZkN2U1NDJmL3NlYzo2ZGY1MjMwZDQ0MzE0MGNjYmU0MWMwM2RmZDdlNTQyZl8xL2ZyYWc6ZDlmODQ2Yzc5YmYwNGRmZWE3MTU0OTk0ZDk2MWIxNjUvdGV4dHJlZ2lvbjpkOWY4NDZjNzliZjA0ZGZlYTcxNTQ5OTRkOTYxYjE2NV80MjU_8332f49b-fefd-4e26-b6e5-9a1ca4a2db0f">983-1303</ix:nonNumeric> </span></div><div style="text-align:center"><span><br/></span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%">Not Applicable</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:7pt;font-weight:700;line-height:120%">(Former name or former address if changed since last report)</span></div><div style="text-align:center"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:66.944%"><tr><td style="width:1.0%"></td><td style="width:32.717%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:30.435%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:14.667%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:17.781%"></td><td style="width:0.1%"></td></tr><tr style="height:3pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="border-bottom:1pt solid #000000;padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr></table></div><div style="text-align:center"><span><br/></span></div><div style="margin-bottom:3pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:</span></div><div style="margin-bottom:3pt"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:12pt;font-weight:400;line-height:120%"><ix:nonNumeric contextRef="ib346b8af44b9468f84abf18b041be488_D20210324-20210324" format="ixt-sec:boolballotbox" name="dei:WrittenCommunications" id="id3VybDovL2RvY3MudjEvZG9jOjZkZjUyMzBkNDQzMTQwY2NiZTQxYzAzZGZkN2U1NDJmL3NlYzo2ZGY1MjMwZDQ0MzE0MGNjYmU0MWMwM2RmZDdlNTQyZl8xL2ZyYWc6ZDlmODQ2Yzc5YmYwNGRmZWE3MTU0OTk0ZDk2MWIxNjUvdGV4dHJlZ2lvbjpkOWY4NDZjNzliZjA0ZGZlYTcxNTQ5OTRkOTYxYjE2NV8xMDk5NTExNjI5NDYy_5a7a7a9a-a112-468d-8b28-0ddb1477c9a3">&#9746;</ix:nonNumeric></span><span style="color:#000000;font-family:'Wingdings',sans-serif;font-size:10pt;font-weight:400;line-height:120%"> </span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</span></div><div style="margin-bottom:3pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%"><ix:nonNumeric contextRef="ib346b8af44b9468f84abf18b041be488_D20210324-20210324" format="ixt-sec:boolballotbox" name="dei:SolicitingMaterial" id="id3VybDovL2RvY3MudjEvZG9jOjZkZjUyMzBkNDQzMTQwY2NiZTQxYzAzZGZkN2U1NDJmL3NlYzo2ZGY1MjMwZDQ0MzE0MGNjYmU0MWMwM2RmZDdlNTQyZl8xL2ZyYWc6ZDlmODQ2Yzc5YmYwNGRmZWE3MTU0OTk0ZDk2MWIxNjUvdGV4dHJlZ2lvbjpkOWY4NDZjNzliZjA0ZGZlYTcxNTQ5OTRkOTYxYjE2NV83NzA_872a8104-80ab-437b-bf43-650148d4b7e3">&#9744;</ix:nonNumeric></span><span style="color:#000000;font-family:'Wingdings',sans-serif;font-size:10pt;font-weight:400;line-height:120%"> </span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</span></div><div style="margin-bottom:3pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%"><ix:nonNumeric contextRef="ib346b8af44b9468f84abf18b041be488_D20210324-20210324" format="ixt-sec:boolballotbox" name="dei:PreCommencementTenderOffer" id="id3VybDovL2RvY3MudjEvZG9jOjZkZjUyMzBkNDQzMTQwY2NiZTQxYzAzZGZkN2U1NDJmL3NlYzo2ZGY1MjMwZDQ0MzE0MGNjYmU0MWMwM2RmZDdlNTQyZl8xL2ZyYWc6ZDlmODQ2Yzc5YmYwNGRmZWE3MTU0OTk0ZDk2MWIxNjUvdGV4dHJlZ2lvbjpkOWY4NDZjNzliZjA0ZGZlYTcxNTQ5OTRkOTYxYjE2NV84NjA_423c4b92-a9f9-4c0a-b255-e45f57b12c63">&#9744;</ix:nonNumeric></span><span style="color:#000000;font-family:'Wingdings',sans-serif;font-size:10pt;font-weight:400;line-height:120%"> </span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</span></div><div style="margin-bottom:3pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%"><ix:nonNumeric contextRef="ib346b8af44b9468f84abf18b041be488_D20210324-20210324" format="ixt-sec:boolballotbox" name="dei:PreCommencementIssuerTenderOffer" id="id3VybDovL2RvY3MudjEvZG9jOjZkZjUyMzBkNDQzMTQwY2NiZTQxYzAzZGZkN2U1NDJmL3NlYzo2ZGY1MjMwZDQ0MzE0MGNjYmU0MWMwM2RmZDdlNTQyZl8xL2ZyYWc6ZDlmODQ2Yzc5YmYwNGRmZWE3MTU0OTk0ZDk2MWIxNjUvdGV4dHJlZ2lvbjpkOWY4NDZjNzliZjA0ZGZlYTcxNTQ5OTRkOTYxYjE2NV85NjY_c98b1050-bfd7-4832-8867-9cd95db0c491">&#9744;</ix:nonNumeric></span><span style="color:#000000;font-family:'Wingdings',sans-serif;font-size:10pt;font-weight:400;line-height:120%"> </span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</span></div><div style="margin-top:6pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:700;line-height:120%">Securities registered pursuant to Section 12(b) of the Act:</span><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:94.722%"><tr><td style="width:1.0%"></td><td style="width:47.140%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:15.908%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:33.652%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-weight:700;line-height:100%">Title of each class</span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-weight:700;line-height:100%">Trading Symbol(s)</span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-weight:700;line-height:100%">Name of each exchange on which registered</span></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:700;line-height:100%"><ix:nonNumeric contextRef="i23c0d0e0d7964354945bed796f4eef1e_D20210324-20210324" name="dei:Security12bTitle" id="id3VybDovL2RvY3MudjEvZG9jOjZkZjUyMzBkNDQzMTQwY2NiZTQxYzAzZGZkN2U1NDJmL3NlYzo2ZGY1MjMwZDQ0MzE0MGNjYmU0MWMwM2RmZDdlNTQyZl8xL2ZyYWc6ZDlmODQ2Yzc5YmYwNGRmZWE3MTU0OTk0ZDk2MWIxNjUvdGFibGU6ODEyNjE3NTQ4ZDU0NGRhM2JiM2M5Yzk5MzEyOTcyYzgvdGFibGVyYW5nZTo4MTI2MTc1NDhkNTQ0ZGEzYmIzYzljOTkzMTI5NzJjOF8xLTAtMS0xLTA_b1e97249-6c3e-46b3-a9eb-a22991f9ea40">Preferred Stock, Par Value $25 Per Share, 4%, Noncumulative</ix:nonNumeric></span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:700;line-height:100%"><ix:nonNumeric contextRef="i23c0d0e0d7964354945bed796f4eef1e_D20210324-20210324" name="dei:TradingSymbol" id="id3VybDovL2RvY3MudjEvZG9jOjZkZjUyMzBkNDQzMTQwY2NiZTQxYzAzZGZkN2U1NDJmL3NlYzo2ZGY1MjMwZDQ0MzE0MGNjYmU0MWMwM2RmZDdlNTQyZl8xL2ZyYWc6ZDlmODQ2Yzc5YmYwNGRmZWE3MTU0OTk0ZDk2MWIxNjUvdGFibGU6ODEyNjE3NTQ4ZDU0NGRhM2JiM2M5Yzk5MzEyOTcyYzgvdGFibGVyYW5nZTo4MTI2MTc1NDhkNTQ0ZGEzYmIzYzljOTkzMTI5NzJjOF8xLTEtMS0xLTA_f6dd1eef-0fde-4320-85fb-8c376b7e7dad">KSU</ix:nonNumeric></span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:700;line-height:100%"><ix:nonNumeric contextRef="i23c0d0e0d7964354945bed796f4eef1e_D20210324-20210324" format="ixt-sec:exchnameen" name="dei:SecurityExchangeName" id="id3VybDovL2RvY3MudjEvZG9jOjZkZjUyMzBkNDQzMTQwY2NiZTQxYzAzZGZkN2U1NDJmL3NlYzo2ZGY1MjMwZDQ0MzE0MGNjYmU0MWMwM2RmZDdlNTQyZl8xL2ZyYWc6ZDlmODQ2Yzc5YmYwNGRmZWE3MTU0OTk0ZDk2MWIxNjUvdGFibGU6ODEyNjE3NTQ4ZDU0NGRhM2JiM2M5Yzk5MzEyOTcyYzgvdGFibGVyYW5nZTo4MTI2MTc1NDhkNTQ0ZGEzYmIzYzljOTkzMTI5NzJjOF8xLTItMS0xLTA_fa8429a8-0c92-41fc-b66c-76ccaa3eee2e">New York Stock Exchange</ix:nonNumeric></span></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:700;line-height:100%"><ix:nonNumeric contextRef="ic40ea93afbda444fb68b7b92ec427bdb_D20210324-20210324" name="dei:Security12bTitle" id="id3VybDovL2RvY3MudjEvZG9jOjZkZjUyMzBkNDQzMTQwY2NiZTQxYzAzZGZkN2U1NDJmL3NlYzo2ZGY1MjMwZDQ0MzE0MGNjYmU0MWMwM2RmZDdlNTQyZl8xL2ZyYWc6ZDlmODQ2Yzc5YmYwNGRmZWE3MTU0OTk0ZDk2MWIxNjUvdGFibGU6ODEyNjE3NTQ4ZDU0NGRhM2JiM2M5Yzk5MzEyOTcyYzgvdGFibGVyYW5nZTo4MTI2MTc1NDhkNTQ0ZGEzYmIzYzljOTkzMTI5NzJjOF8yLTAtMS0xLTA_1118c42f-e103-407c-a196-67e748d27dba">Common Stock, $.01 Per Share Par Value</ix:nonNumeric></span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:700;line-height:100%"><ix:nonNumeric contextRef="ic40ea93afbda444fb68b7b92ec427bdb_D20210324-20210324" name="dei:TradingSymbol" id="id3VybDovL2RvY3MudjEvZG9jOjZkZjUyMzBkNDQzMTQwY2NiZTQxYzAzZGZkN2U1NDJmL3NlYzo2ZGY1MjMwZDQ0MzE0MGNjYmU0MWMwM2RmZDdlNTQyZl8xL2ZyYWc6ZDlmODQ2Yzc5YmYwNGRmZWE3MTU0OTk0ZDk2MWIxNjUvdGFibGU6ODEyNjE3NTQ4ZDU0NGRhM2JiM2M5Yzk5MzEyOTcyYzgvdGFibGVyYW5nZTo4MTI2MTc1NDhkNTQ0ZGEzYmIzYzljOTkzMTI5NzJjOF8yLTEtMS0xLTA_88233b8a-2a37-43e7-900a-a08840b3e4aa">KSU</ix:nonNumeric></span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:700;line-height:100%"><ix:nonNumeric contextRef="ic40ea93afbda444fb68b7b92ec427bdb_D20210324-20210324" format="ixt-sec:exchnameen" name="dei:SecurityExchangeName" id="id3VybDovL2RvY3MudjEvZG9jOjZkZjUyMzBkNDQzMTQwY2NiZTQxYzAzZGZkN2U1NDJmL3NlYzo2ZGY1MjMwZDQ0MzE0MGNjYmU0MWMwM2RmZDdlNTQyZl8xL2ZyYWc6ZDlmODQ2Yzc5YmYwNGRmZWE3MTU0OTk0ZDk2MWIxNjUvdGFibGU6ODEyNjE3NTQ4ZDU0NGRhM2JiM2M5Yzk5MzEyOTcyYzgvdGFibGVyYW5nZTo4MTI2MTc1NDhkNTQ0ZGEzYmIzYzljOTkzMTI5NzJjOF8yLTItMS0xLTA_fa196fca-0059-4fb5-af27-69836c84ccef">New York Stock Exchange</ix:nonNumeric></span></td></tr></table></div><div style="margin-bottom:3pt"><span><br/></span></div><div style="margin-bottom:3pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (&#167;230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (&#167;240.12b-2 of this chapter).</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:120%"> </span></div><div style="margin-bottom:5pt;margin-top:5pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Emerging growth company <ix:nonNumeric contextRef="ib346b8af44b9468f84abf18b041be488_D20210324-20210324" format="ixt-sec:boolballotbox" name="dei:EntityEmergingGrowthCompany" id="id3VybDovL2RvY3MudjEvZG9jOjZkZjUyMzBkNDQzMTQwY2NiZTQxYzAzZGZkN2U1NDJmL3NlYzo2ZGY1MjMwZDQ0MzE0MGNjYmU0MWMwM2RmZDdlNTQyZl8xL2ZyYWc6ZDlmODQ2Yzc5YmYwNGRmZWE3MTU0OTk0ZDk2MWIxNjUvdGV4dHJlZ2lvbjpkOWY4NDZjNzliZjA0ZGZlYTcxNTQ5OTRkOTYxYjE2NV8xNjU3_0b7f1a3a-5345-4532-9ac0-9578ef44d39a">&#9744;</ix:nonNumeric> </span></div><div style="margin-bottom:5pt;margin-top:5pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. &#9744;</span><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:99.861%"><tr><td style="width:1.0%"></td><td style="width:17.397%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:17.397%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:17.397%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:17.397%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:24.912%"></td><td style="width:0.1%"></td></tr><tr style="height:3pt"><td colspan="3" style="border-bottom:1pt solid #000000;border-top:1pt solid #000000;padding:0 1pt"></td><td colspan="3" style="border-bottom:1pt solid #000000;border-top:1pt solid #000000;padding:0 1pt"></td><td colspan="3" style="border-bottom:1pt solid #000000;border-top:1pt solid #000000;padding:0 1pt"></td><td colspan="3" style="border-bottom:1pt solid #000000;border-top:1pt solid #000000;padding:0 1pt"></td><td colspan="3" style="border-bottom:1pt solid #000000;border-top:1pt solid #000000;padding:0 1pt"></td></tr></table></div><div><span><br/></span></div><div style="height:45pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div><span><br/></span></div></div></div><div id="i6df5230d443140ccbe41c03dfd7e542f_7"></div><hr style="page-break-after:always"/><div style="min-height:54pt;width:100%"><div><span><br/></span></div></div><div style="text-align:justify"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:115%">Item 5.02&#160;&#160;&#160;&#160;Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. </span></div><div><span><br/></span></div><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">As previously reported, on March 21, 2021, Kansas City Southern (the &#8220;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%;text-decoration:underline">Company</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">&#8221;) entered into an Agreement and Plan of Merger (the &#8220;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%;text-decoration:underline">Merger Agreement</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">&#8221;) with Canadian Pacific Railway Limited (&#8220;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%;text-decoration:underline">Canadian Pacific</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">&#8221;).  In connection with the transactions contemplated by the Merger Agreement, on March 24, 2021, The Kansas City Southern Railway Company, a subsidiary of the Company, entered into an agreement (each, a &#8220;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%;text-decoration:underline">Letter Agreement</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">&#8221;) with each of Patrick Ottensmeyer, President and Chief Executive Officer, Michael Upchurch, Executive Vice President and Chief Financial Officer, Jeffrey Songer, Executive Vice President and Chief Operating Officer, Brian Hancock, Executive Vice President and Chief Innovation Officer and Michael Naatz, Executive Vice President and Chief Marketing Officer (each, a &#8220;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%;text-decoration:underline">Covered Executive</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">&#8221;).  </span></div><div><span><br/></span></div><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">The Letter Agreements revise certain terms of the existing severance agreements with the Covered Executives, including:  (1) providing that the protection period for enhanced change in control severance (the &#8220;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%;text-decoration:underline">CIC Protection Period</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">&#8221;) will run from the date that the Mergers (as defined in the Merger Agreement) occur through the two year anniversary of the date that Canadian Pacific takes control of the Company (the &#8220;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%;text-decoration:underline">Control Date</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">&#8221;); (2) clarifying that for purposes of determining a Covered Executive&#8217;s pro-rata bonus and target bonus component of cash severance, the &#8220;target award&#8221; will be the greater of the target award for the calendar year in which the Covered Executive&#8217;s employment is terminated and the target award for the calendar year in which the change in control occurs and (3) for Mr. Upchurch, establishing the multiple applicable to the base salary and target bonus components of his severance during the CIC Protection Period at three (3) times.  In addition, in consideration of certain acknowledgements from the Covered Executives that the occurrence of the Mergers will not, in and of itself, constitute &#8220;Good Reason&#8221; under the Covered Executives&#8217; severance agreements and that  the non-competition period under the severance agreements for each of the Covered Executives other than Mr. Songer will be extended from one to two years, the Letter Agreements provide that in the event that a Covered Executive receives any payments or benefits that are subject to tax under Section 4999 of the Internal Revenue Code, as amended the Covered Executive will receive a payment that puts the Covered Executive in the same after-tax position as though such tax did not apply.  </span></div><div><span><br/></span></div><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">In connection with its efforts to promote retention and incentivize the completion of the Mergers, on March 25, 2021, the Company granted retention awards in the amount of $1,590,000; $811,500; $807,000; $763,500 and $763,500 to each of Messrs. Ottensmeyer, Upchurch, Songer, Hancock and Naatz, respectively.  Each award will vest and become payable in two installments:  (1) 25% on the earlier of (a) the date on which the Mergers occur and (b) December 21, 2021, and (2) 75% on the earlier of (a) ninety (90) days after the Control Date and (b) March 31, 2023, subject, in each case, to the Covered Executive&#8217;s continued employment through the applicable vesting dates; </span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-style:italic;font-weight:400;line-height:115%">provided, however</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">, that if the Covered Executive experiences a qualifying termination, then the Covered Executive will be entitled to any then unpaid portion of the Covered Executive&#8217;s award.</span></div><div><span><br/></span></div><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">The foregoing descriptions of the Letter Agreements and the retention awards are qualified in their entirety by reference to the form of Letter Agreement and form of Retention Award Agreement, copies of which are filed as Exhibits 10.1 and 10.2, respectively, herewith and are incorporated by reference herein.</span></div><div><span><br/></span></div><div style="margin-bottom:9pt"><span><br/></span></div><div id="i6df5230d443140ccbe41c03dfd7e542f_69"></div><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%">Item 5.03 &#160;&#160;&#160;&#160;Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year</span></div><div><span><br/></span></div><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">On March 27, 2021, the Company&#8217;s Board of Directors amended Section 2 of Article III of the Company&#8217;s bylaws to allow the Board to consent to nominations of directors who would have otherwise been ineligible to be nominated for election to the Board as a result of such individual being at or above the retirement age (75) prior to the annual meeting at which such elections are to occur. A copy of the Company&#8217;s Bylaws is filed as Exhibit 3.2 herewith and is incorporated by reference herein.</span></div><div><span><br/></span></div><div id="i6df5230d443140ccbe41c03dfd7e542f_10"></div><div><span><br/></span></div><div style="height:54pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div><span><br/></span></div></div></div><hr style="page-break-after:always"/><div style="min-height:54pt;width:100%"><div><span><br/></span></div></div><div style="-sec-extract:summary"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:115%">Item 9.01 &#160;&#160;&#160;&#160;Financial Statements and Exhibits. </span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%"> </span></div><div><span><br/></span></div><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">(d) Exhibits</span><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:100.000%"><tr><td style="width:1.0%"></td><td style="width:13.632%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:84.168%"></td><td style="width:0.1%"></td></tr><tr style="height:15pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:115%;text-decoration:underline">Exhibit No.</span></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:115%;text-decoration:underline">Description</span></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">3.2</span></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><div><span style="color:#0000ff;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%;text-decoration:underline"><a style="-sec-extract:exhibit;color:#0000ff;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%;text-decoration:underline" href="kcsex323242021.htm">Kansas City Southern Bylaws, as amended and restated effective March 2</a><a style="-sec-extract:exhibit;color:#0000ff;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%;text-decoration:underline" href="kcsex323242021.htm">7</a><a style="-sec-extract:exhibit;color:#0000ff;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%;text-decoration:underline" href="kcsex323242021.htm">, 2021</a></span></div></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">10.1</span></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><div><span style="color:#0000ff;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%;text-decoration:underline"><a style="-sec-extract:exhibit;color:#0000ff;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%;text-decoration:underline" href="kcsex1013242021.htm">Form of Letter Agreement, dated March 24, 2021</a></span></div></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">10.2</span></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><div><span style="color:#0000ff;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%;text-decoration:underline"><a style="-sec-extract:exhibit;color:#0000ff;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%;text-decoration:underline" href="kcsex1023242021.htm">Form of Retention Award Agreement, dated March 25, 2021</a></span></div></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">104</span></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">Cover page information from Kansas City Southern&#8217;s Current Report on Form 8-K filed on March 30, 2021, formatted in iXBRL (Inline Extensible Business Reporting Language) and included as Exhibit 101.</span></div></td></tr><tr style="height:21pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr></table></div><div><span><br/></span></div><div style="height:54pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div><span><br/></span></div></div></div><div id="i6df5230d443140ccbe41c03dfd7e542f_13"></div><hr style="page-break-after:always"/><div style="min-height:45pt;width:100%"><div><span><br/></span></div></div><div style="margin-bottom:6pt;text-align:center"><span><br/></span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%">SIGNATURE</span></div><div style="text-indent:36pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.</span></div><div><span><br/></span></div><div style="text-indent:288pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">                      Kansas City Southern          </span></div><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-style:italic;font-weight:400;line-height:120%">Date:   March 30, 2021  </span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">                           </span></div><div style="padding-left:180pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">                         </span><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:54.027%"><tr><td style="width:1.0%"></td><td style="width:11.496%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:86.304%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-style:italic;font-weight:400;line-height:100%">By:</span></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">/s/ Adam J. Godderz</span></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Name:</span></td><td colspan="3" style="border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Adam J. Godderz</span></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Title:</span></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Senior Vice President - Chief Legal Officer &amp; Corporate Secretary</span></td></tr></table></div><div><span><br/></span></div><div style="text-align:center"><span><br/></span></div><div style="height:45pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div><span><br/></span></div></div></div></body></html>
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{"company-data": {"conformed-name": "KANSAS CITY SOUTHERN", "cik": "0000054480", "assigned-sic": "4011", "irs-number": "440663509", "state-of-incorporation": "DE", "fiscal-year-end": "1231"}, "filing-values": {"form-type": "8-K", "act": "34", "file-number": "001-04717", "film-number": "21787840"}, "business-address": {"street1": "427 W 12TH STREET", "city": "KANSAS CITY", "state": "MO", "zip": "64105", "phone": "8169831360"}, "mail-address": {"street1": "427 W 12TH STREET", "city": "KANSAS CITY", "state": "MO", "zip": "64105"}, "former-company": {"former-conformed-name": "KANSAS CITY SOUTHERN INDUSTRIES INC", "date-changed": "19920703"}}
ksu-20210324
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM
8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of Report (Date of earliest event reported):
March 24, 2021
KANSAS CITY SOUTHERN
(Exact name of registrant as specified in its charter)
Delaware
1-4717
44-0663509
(State or other jurisdiction
(Commission
(IRS Employer
of incorporation)
file number)
Identification Number)
427 West 12th Street
,
Kansas City
,
Missouri
64105
(Address of principal executive offices) (Zip Code)
Registrant's telephone number, including area code:
(
816
)
983-1303
Not Applicable
(Former name or former address if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
☒
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
Title of each class
Trading Symbol(s)
Name of each exchange on which registered
Preferred Stock, Par Value $25 Per Share, 4%, Noncumulative
KSU
New York Stock Exchange
Common Stock, $.01 Per Share Par Value
KSU
New York Stock Exchange
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company
☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 5.02    Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
As previously reported, on March 21, 2021, Kansas City Southern (the "
Company
") entered into an Agreement and Plan of Merger (the "
Merger Agreement
") with Canadian Pacific Railway Limited ("
Canadian Pacific
").  In connection with the transactions contemplated by the Merger Agreement, on March 24, 2021, The Kansas City Southern Railway Company, a subsidiary of the Company, entered into an agreement (each, a "
Letter Agreement
") with each of Patrick Ottensmeyer, President and Chief Executive Officer, Michael Upchurch, Executive Vice President and Chief Financial Officer, Jeffrey Songer, Executive Vice President and Chief Operating Officer, Brian Hancock, Executive Vice President and Chief Innovation Officer and Michael Naatz, Executive Vice President and Chief Marketing Officer (each, a "
Covered Executive
").
The Letter Agreements revise certain terms of the existing severance agreements with the Covered Executives, including:  (1) providing that the protection period for enhanced change in control severance (the "
CIC Protection Period
") will run from the date that the Mergers (as defined in the Merger Agreement) occur through the two year anniversary of the date that Canadian Pacific takes control of the Company (the "
Control Date
"); (2) clarifying that for purposes of determining a Covered Executive's pro-rata bonus and target bonus component of cash severance, the "target award" will be the greater of the target award for the calendar year in which the Covered Executive's employment is terminated and the target award for the calendar year in which the change in control occurs and (3) for Mr. Upchurch, establishing the multiple applicable to the base salary and target bonus components of his severance during the CIC Protection Period at three (3) times.  In addition, in consideration of certain acknowledgements from the Covered Executives that the occurrence of the Mergers will not, in and of itself, constitute "Good Reason" under the Covered Executives' severance agreements and that  the non-competition period under the severance agreements for each of the Covered Executives other than Mr. Songer will be extended from one to two years, the Letter Agreements provide that in the event that a Covered Executive receives any payments or benefits that are subject to tax under Section 4999 of the Internal Revenue Code, as amended the Covered Executive will receive a payment that puts the Covered Executive in the same after-tax position as though such tax did not apply.
In connection with its efforts to promote retention and incentivize the completion of the Mergers, on March 25, 2021, the Company granted retention awards in the amount of $1,590,000; $811,500; $807,000; $763,500 and $763,500 to each of Messrs. Ottensmeyer, Upchurch, Songer, Hancock and Naatz, respectively.  Each award will vest and become payable in two installments:  (1) 25% on the earlier of (a) the date on which the Mergers occur and (b) December 21, 2021, and (2) 75% on the earlier of (a) ninety (90) days after the Control Date and (b) March 31, 2023, subject, in each case, to the Covered Executive's continued employment through the applicable vesting dates;
provided, however
, that if the Covered Executive experiences a qualifying termination, then the Covered Executive will be entitled to any then unpaid portion of the Covered Executive's award.
The foregoing descriptions of the Letter Agreements and the retention awards are qualified in their entirety by reference to the form of Letter Agreement and form of Retention Award Agreement, copies of which are filed as Exhibits 10.1 and 10.2, respectively, herewith and are incorporated by reference herein.
Item 5.03     Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
On March 27, 2021, the Company's Board of Directors amended Section 2 of Article III of the Company's bylaws to allow the Board to consent to nominations of directors who would have otherwise been ineligible to be nominated for election to the Board as a result of such individual being at or above the retirement age (75) prior to the annual meeting at which such elections are to occur. A copy of the Company's Bylaws is filed as Exhibit 3.2 herewith and is incorporated by reference herein.
Item 9.01     Financial Statements and Exhibits.
(d) Exhibits
Exhibit No.
Description
3.2
Kansas City Southern Bylaws, as amended and restated effective March 2
7
, 2021
10.1
Form of Letter Agreement, dated March 24, 2021
10.2
Form of Retention Award Agreement, dated March 25, 2021
104
Cover page information from Kansas City Southern's Current Report on Form 8-K filed on March 30, 2021, formatted in iXBRL (Inline Extensible Business Reporting Language) and included as Exhibit 101.
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Kansas City Southern
Date:   March 30, 2021
By:
/s/ Adam J. Godderz
Name:
Adam J. Godderz
Title:
Senior Vice President - Chief Legal Officer & Corporate Secretary