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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MOORMAN CHARLES W THREE COMMERCIAL PLACE NORFOLK, VA 23510 |
X | Chairman, President & CEO |
Howard D. McFadden, via P.O.A. for Charles W. Moorman | 01/11/2013 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | On December 23, 2010, the reporting person contributed a total of 99,812 shares of NSC common stock to two grantor retained annuity trusts (GRAT2 45,812 shares and GRAT3 54,000 shares) for the benefit of himself and his two children. Upon termination of GRAT2 on December 21, 2012, 3,794 of the shares were transferred to the reporting person's children. The remaining 42,018 shares in GRAT2 were previously distributed to the reporting person and continue to be reported in this Form 4 as 'directly owned'. The balance in GRAT3 after previous distributions to the reporting person is 21,650.8254 shares |
(2) | Excludes 21,650.8254 shares held indirectly in grantor retained annuity trust (GRAT), of which 2,470.8254 are dividend reinvestment shares accumulated in the name of the GRAT. |
(3) | 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 December 21, 2012, to have been credited to the reporting person's account in the Norfolk Southern Corporation Thrift and Investment (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. |