SEC Form 4 · accession 0001562180-17-001180
SAIA INC · SAIA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian A Balius
Officer — VP-Transportation and Engineer
Period of report
Mar 3, 2017
Accepted (ET)
Mar 7, 2017 · 5:16 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001177702
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 3, 2017 | M | 6,570 | $31.50 | A | 40,282 | D | |
| Common Stock | Mar 3, 2017 | S | 6,570 | $47.10 | D | 33,712 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy) | $31.50 | Mar 3, 2017 | M | 6,570 | D | Feb 4, 2017 | Feb 3, 2021 | Common Stock | 6,570 | 0 | D |
| Phantom StockF1,F2,F3 | — | holding | — | — | — | — | — | Common Stock | 9,389 | 9,389 | D |
| Stock Options (Right to Buy) | $43.01 | holding | — | — | — | Feb 3, 2018 | Feb 3, 2022 | Common Stock | 6,750 | 6,750 | D |
| Stock Options (Right to Buy) | $27.45 | holding | — | — | — | Feb 8, 2019 | Feb 8, 2023 | Common Stock | 12,210 | 12,210 | D |
| Stock Options (Right to Buy) | $46.35 | holding | — | — | — | Feb 7, 2020 | Feb 7, 2024 | Common Stock | 3,250 | 3,250 | D |
Explanation of responses
- F1The conversion rate of this derivative security on March 3, 2017 is 1.1965 resulting in 11,233.89 shares of common stock (underlying security in column 7).
- F2Immediate
- F3The shares of phantom stock become payable in the Company's common stock upon reporting person's termination of service as an employee, in accordance with the terms of the Plan.