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*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 06/05/2021 | 3. Issuer Name and Ticker or Trading Symbol CSX CORP [ CSX ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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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 | 10,529(1) | D | |
Common Stock | 246 | I | CSX Corporation 401(k) Plan(2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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 | ||||
Option | 02/22/2020 | 02/22/2027 | Common Stock | 741 | 48.39 | D | |
Option | 02/06/2021 | 02/06/2028 | Common Stock | 3,544 | 53.82 | D | |
Option | (3) | 02/06/2029 | Common Stock | 3,143 | 68.09 | D | |
Option | (4) | 02/18/2030 | Common Stock | 6,616 | 79.51 | D | |
Option | (5) | 02/09/2031 | Common Stock | 2,567 | 88.47 | D | |
Option | (5) | 02/09/2031 | Common Stock | 7,391 | 99.62 | D |
Explanation of Responses: |
1. Includes 502 shares acquired under the CSX Corporation Employee Stock Purchase Plan, 351 restricted stock units ("RSUs") vesting on February 6, 2022, 687 RSUs vesting on February 9, 2024, 1,983 RSUs vesting on February 9, 2024, and 2,910 shares of restricted stock vesting on September 4, 2021. |
2. By Trustee, CSX Tax Savings Thrift Plan. The number reflects equivalent shares of cash value held in CSX Stock Fund, which amounts will fluctuate dependent upon daily net asset value of the fund. |
3. Options vest in three equal annual installments beginning on February 6, 2020. |
4. Options vest in three equal annual installments beginning on February 18, 2021. |
5. Options vest in three equal annual installments beginning on February 9, 2022. |
Remarks: |
/s/ Mark D. Austin, Attorney-in-Fact | 06/15/2021 | |
** 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). | ||
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. |