|
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 |
|
| ||||||||||||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Performance Units (3) | (4) | 09/08/2017 | D | 2,845 (4) | (4) | 01/31/2019(4) | Common Stock | 2,845 (4) | $ 0 | 0 | D | ||||
Restricted Stock Performance Units (3) | (4) | 09/08/2017 | D | 3,508 (4) | (4) | 01/31/2020(4) | Common Stock | 3,508 (4) | $ 0 | 0 | D | ||||
Restricted Stock Units (3) | $ 0 | 09/08/2017 | D | 7,050 | (5) | (5) | Common Stock | 7,050 | $ 0 | 0 | D | ||||
Restricted Stock Units (3) | $ 0 | 09/08/2017 | D | 1,000 | (6) | (6) | Common Stock | 1,000 | $ 0 | 0 | D | ||||
Restricted Stock Units (3) | $ 0 | 09/08/2017 | D | 2,800 | (7) | (7) | Common Stock | 2,800 | $ 0 | 0 | D | ||||
Restricted Stock Units (3) | $ 0 | 09/08/2017 | D | 3,748 | (8) | (8) | Common Stock | 3,748 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) (3) | $ 14.79 | 09/08/2017 | D | 9,000 | (9) | 11/25/2017 | Common Stock | 9,000 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) (3) | $ 17.29 | 09/08/2017 | D | 5,000 | (10) | 05/21/2018 | Common Stock | 5,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Carlson Todd F. 20002 NORTH 19TH AVENUE PHOENIX, AZ 85027 |
General Counsel and Secretary |
/s/ Jessica Benford, Attorney-in-Fact | 04/11/2018 | |
**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) | This row is being amended to clarify the direct and indirect ownership of the shares disposed of in the transaction reported in the original Form 4. |
(2) | Disposed of pursuant to Agreement and Plan of Merger, dated April 9, 2017, by and among Swift Transportation Company, Bishop Merger Sub, Inc., and the issuer (the "Merger Agreement"), providing that all shares of issuer shall be exchanged for an equal number of shares of Knight-Swift Transportation Holdings Inc., such exchanged shares having a market value of $40.85 per share on the effective date of the merger. |
(3) | This row is added to show disposition of derivative securities pursuant to the Merger Agreement. The derivate securities were assumed and replaced by Swift Transportation Company (renamed Knight-Swift Transportation Holdings Inc.). |
(4) | The number of underlying securities is subject to adjustment based on the level of achievement for specified performance targets measured over a performance period ending on December 31, 2017. The shares underlying this award vested as of September 8, 2017. |
(5) | The remaining restricted stock units for this grant were scheduled to vest as follows: approximately 17% on January 31, 2018, approximately 17% on January 31, 2019, approximately 15% on January 31, 2020, and approximately 17% on each of January 31, 2021, 2022, and 2023. |
(6) | The remaining restricted stock units for this grant were scheduled to vest on January 31, 2018. |
(7) | The remaining restricted stock units for this grant were scheduled to vest in two equal annual installments beginning on January 31, 2018. |
(8) | This restricted stock unit grant was scheduled to vest in five equal annual installments beginning on May 31, 2018. |
(9) | This option vested in three equal annual installments beginning on November 26, 2010. |
(10) | This option vested in five equal annual installments beginning on May 22, 2011. |