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NORFOLK SOUTHERN CORP — Director's Dealing 2021
Aug 2, 2021
29951_dirs_2021-08-02_45619064-d7aa-4c03-bd68-a36e98060142.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: NORFOLK SOUTHERN CORP (NSC)
CIK: 0000702165
Period of Report: 2021-07-29
Reporting Person: Shaw Alan H. (EVP & Chief Marketing Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-07-29 | Common Stock | M | 2760.0000 | $94.1700 | Acquired | 31399.0000 | Direct |
| 2021-07-29 | Common Stock | M | 2720.0000 | $104.2300 | Acquired | 34119.0000 | Direct |
| 2021-07-29 | Common Stock | M | 2550.0000 | $69.8300 | Acquired | 36669.0000 | Direct |
| 2021-07-29 | Common Stock | M | 1900.0000 | $75.1400 | Acquired | 38569.0000 | Direct |
| 2021-07-29 | Common Stock | S | 570.0000 | $256.9084 | Disposed | 37999.0000 | Direct |
| 2021-07-29 | Common Stock | S | 1118.0000 | $256.9650 | Disposed | 36881.0000 | Direct |
| 2021-07-29 | Common Stock | F | 1552.0000 | $258.1400 | Disposed | 35329.0000 | Direct |
| 2021-07-29 | Common Stock | S | 1699.0000 | $256.9037 | Disposed | 33630.0000 | Direct |
| 2021-07-29 | Common Stock | S | 1761.0000 | $256.9407 | Disposed | 31869.0000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-07-29 | Option (right to buy, granted 2012) | $75.1400 | M | 1900.0000 | Disposed | 2022-01-25 | Common Stock (1900.0000) | Direct |
| 2021-07-29 | Option (right to buy, granted 2013) | $69.8300 | M | 2550.0000 | Disposed | 2023-01-23 | Common Stock (2550.0000) | Direct |
| 2021-07-29 | Option (right to buy, granted 2014) | $94.1700 | M | 2760.0000 | Disposed | 2024-01-22 | Common Stock (2760.0000) | Direct |
| 2021-07-29 | Option (right to buy, granted 2015) | $104.2300 | M | 2720.0000 | Disposed | 2025-01-26 | Common Stock (2720.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1747.2382 | Indirect |
Footnotes
F1: Reflects exercise and resulting cancellation of stock option, in a single transaction, exempt from Section 16(b). The stock option was granted under the Long-Term Incentive Plan (a Rule 16b-3 plan).
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $256.9000 to $257.0000, inclusive.
F3: Represents the approximate number of whole shares of Common Stock estimated -- on the basis of the unit accounting system used by the Plan Administrator -- as of July 29, 2021, to have been credited to the reporting person's account in the Norfolk Southern Corporation Thrift and Investment Plan (TIP), a trusteed 401(k) plan. In accordance with TIP's terms applicable to all participants, acquisitions were made at various times and at various prices.