Filing Details
- Accession Number:
- 0001506839-17-000010
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-05-26 17:18:18
- Reporting Period:
- 2017-05-24
- Filing Date:
- 2017-05-26
- Accepted Time:
- 2017-05-26 17:18:18
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1492691 | Swift Transportation Co | SWFT | Trucking (No Local) (4213) | 205589597 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1506839 | Virginia Henkels | C/O Swift Transportation Company 2200 South 75Th Avenue Phoenix AZ 85043 | Chief Financial Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Disposition | 2017-05-24 | 1,258 | $23.99 | 29,247 | No | 4 | F | Direct | |
| Class A Common Stock | Acquisiton | 2017-05-25 | 20,000 | $11.00 | 49,247 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2017-05-25 | 20,000 | $24.14 | 29,247 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2017-05-25 | 24,000 | $8.80 | 53,247 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2017-05-25 | 24,000 | $23.94 | 29,247 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Employee Stock Option (Right-to-buy) | Disposition | 2017-05-25 | 20,000 | $0.00 | 20,000 | $11.00 |
| Class A Common Stock | Employee Stock Option (Right-to-buy) | Disposition | 2017-05-25 | 24,000 | $0.00 | 24,000 | $8.80 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 58,000 | 2018-08-27 | No | 4 | M | Direct | |
| 0 | 2020-02-28 | No | 4 | M | Direct |
Footnotes
- Represents the number of shares withheld to satisfy tax withholding obligations upon the vesting of Restricted Stock Units previously granted under the Company's 2014 Omnibus Incentive Plan.
- The price of $24.14 reported in Column 4 is the weighted average price. The shares were sold in multiple transactions at prices ranging from $24.06 to $24.14. The reporting person undertakes to provide Swift Transportation Company, any securities holders of Swift Transportation Company, or the staff of the Securities and Exchange Commission, upon request, all information regarding the number of shares sold at each separate price within this range.
- The price of $23.94 reported in Column 4 is the weighted average price. The shares were sold in multiple transactions at prices ranging from $23.67 to $24.17. The reporting person undertakes to provide Swift Transportation Company, any securities holders of Swift Transportation Company, or the staff of the Securities and Exchange Commission, upon request, all information regarding the number of shares sold at each separate price within this range.
- Options were granted under the Issuer's 2007 Omnibus Incentive Plan. Upon exercise, the options convert to the Issuer's Class A common stock on a one-to-one basis.
- In connection with the Issuer's initial public offering, a four-to-five reverse stock split was effected on November 29, 2010. Additionally, the exercise price of any options with exercise prices greater than $11.00 (the initial public offering price) were adjusted to $11.00 on December 15, 2010.
- The options vested and became exercisable in three equal annual installments, beginning with the third anniversary from the August 27, 2008 grant date.
- The options vested and became exercisable in three equal annual installments, beginning with the third anniversary from the February 28, 2010 grant date.
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