CSX CORPORATION SEC Form 5<_o3a_p>
FORM 5<_o3a_p> | UNITED STATES SECURITIES AND EXCHANGE COMMISSION<_o3a_p> Washington, D.C. 20549<_o3a_p> <_o3a_p> ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP<_o3a_p> <_o3a_p> Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934<_o3a_p> or Section 30(h) of the Investment Company Act of 1940<_o3a_p> |
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<_o3a_p> | Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).<_o3a_p> | |||||||||||
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Form 3 Holdings Reported.<_o3a_p>
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Form 4 Transactions Reported.<_o3a_p>
| 1. Name and Address of Reporting Person*<_o3a_p> |
Harris Edmond L<_o3a_p> |
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(Last)<_o3a_p> | (First)<_o3a_p> | (Middle)<_o3a_p> |
500 WATER STREET<_o3a_p> | ||
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(Street)<_o3a_p>
JACKSONVILLE<_o3a_p> | FL<_o3a_p> | 32202<_o3a_p> |
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(City)<_o3a_p> | (State)<_o3a_p> | (Zip)<_o3a_p> |
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2. Issuer Name and Ticker or Trading Symbol<_o3a_p>
CSX CORP [ CSX ]<_o3a_p>
5. Relationship of Reporting Person(s) to Issuer<_o3a_p>
(Check all applicable)<_o3a_p>
<_o3a_p> | Director<_o3a_p> | <_o3a_p> | 10% Owner<_o3a_p> |
X<_o3a_p> | Officer (give title below)<_o3a_p> | <_o3a_p> | Other (specify below)<_o3a_p> |
EVP of Operations<_o3a_p> |
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12/31/2019<_o3a_p>
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| 3. Statement for Issuer's Fiscal Year Ended (Month/Day/Year)<_o3a_p> | <_o3a_p> | <_o3a_p> | |||||||||||||||||
| 4. If Amendment, Date of Original Filed (Month/Day/Year)<_o3a_p> | 6. Individual or Joint/Group Filing (Check Applicable Line)<_o3a_p>
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned<_o3a_p> | <_o3a_p> | ||||||||||||||||||
1. Title of Security (Instr. 3)<_o3a_p> | 2. Transaction Date (Month/Day/Year)<_o3a_p> | 2A. Deemed Execution Date, if any (Month/Day/Year)<_o3a_p> | 3. Transaction Code (Instr. 8)<_o3a_p> | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)<_o3a_p> | 5. Amount of Securities Beneficially Owned at end of Issuer's Fiscal Year (Instr. 3 and 4)<_o3a_p> | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)<_o3a_p> | 7. Nature of Indirect Beneficial Ownership (Instr. 4)<_o3a_p> | <_o3a_p> | <_o3a_p> | <_o3a_p> | <_o3a_p> | <_o3a_p> | <_o3a_p> | <_o3a_p> | |||||
| Amount<_o3a_p> | (A) or (D)<_o3a_p> | Price<_o3a_p> | <_o3a_p> | <_o3a_p> | <_o3a_p> | <_o3a_p> | <_o3a_p> | <_o3a_p> | <_o3a_p> | <_o3a_p> | <_o3a_p> | ||||||||
Common Stock<_o3a_p> | 07/01/2019<_o3a_p> | <_o3a_p> | A4(1)<_o3a_p> | 361<_o3a_p> | A<_o3a_p> | $52.66<_o3a_p> | 23,772<_o3a_p> | D<_o3a_p> | <_o3a_p> | <_o3a_p> | <_o3a_p> | <_o3a_p> | <_o3a_p> | <_o3a_p> | <_o3a_p> | <_o3a_p> | <_o3a_p> | <_o3a_p> | |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned<_o3a_p> (e.g., puts, calls, warrants, options, convertible securities)<_o3a_p> | <_o3a_p> | ||||||||||||||||||
1. Title of Derivative Security (Instr. 3)<_o3a_p> | 2. Conversion or Exercise Price of Derivative Security<_o3a_p> | 3. Transaction Date (Month/Day/Year)<_o3a_p> | 3A. Deemed Execution Date, if any (Month/Day/Year)<_o3a_p> | 4. Transaction Code (Instr. 8)<_o3a_p> | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)<_o3a_p> | 6. Date Exercisable and Expiration Date (Month/Day/Year)<_o3a_p> | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)<_o3a_p> | 8. Price of Derivative Security (Instr. 5)<_o3a_p> | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)<_o3a_p> | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)<_o3a_p> | 11. Nature of Indirect Beneficial Ownership (Instr. 4)<_o3a_p> | <_o3a_p> | |||||||
| (A)<_o3a_p> | (D)<_o3a_p> | Date Exercisable<_o3a_p> | Expiration Date<_o3a_p> | Title<_o3a_p> | Amount or Number of Shares<_o3a_p> | <_o3a_p> | <_o3a_p> | <_o3a_p> | <_o3a_p> | <_o3a_p> | |||||||||
Explanation of Responses:<_o3a_p> | |||||||||||||||||||
1. These shares were acquired under the CSX Corporation Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c).<_o3a_p> | |||||||||||||||||||
Remarks:<_o3a_p> | |||||||||||||||||||
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<_o3a_p> | /s/ Mark D. Austin, Attorney-in-Fact<_o3a_p> | 02/18/2020<_o3a_p> | |||||||||||||||||
<_o3a_p> | ** Signature of Reporting Person<_o3a_p> | Date<_o3a_p> | |||||||||||||||||
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.<_o3a_p> | |||||||||||||||||||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).<_o3a_p> | |||||||||||||||||||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).<_o3a_p> | |||||||||||||||||||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.<_o3a_p> | |||||||||||||||||||
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.<_o3a_p> | |||||||||||||||||||
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CSX Corporation published this content on 18 February 2020 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 19 February 2020 03:47:01 UTC
