SEC Form 4 · accession 0001562180-17-003502
SAIA INC · SAIA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frederick J Holzgrefe III
Officer — Executive VP, CFO & Secretary
Period of report
Nov 6, 2017
Accepted (ET)
Nov 7, 2017 · 4:36 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 | Nov 6, 2017 | S | 1,322 | $64.5266 | D | 31,668 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF1,F2,F3 | — | holding | — | — | — | — | — | Common Stock | 2,030 | 2,030 | D |
| Stock Options (Right to Buy) | $43.01 | holding | — | — | — | Feb 3, 2018 | Feb 3, 2022 | Common Stock | 13,110 | 13,110 | D |
| Stock Options (Right to Buy) | $27.45 | holding | — | — | — | Feb 8, 2019 | Feb 8, 2023 | Common Stock | 23,260 | 23,260 | D |
| Stock Options (Right to Buy) | $46.35 | holding | — | — | — | Feb 7, 2020 | Feb 7, 2024 | Common Stock | 6,190 | 6,190 | D |
Explanation of responses
- F1The conversion rate of this derivative security on November 6, 2017 is 1.1868 resulting in 2,409.31 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.