SEC Form 4 · accession 0001562180-18-001119
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
Feb 20, 2018
Accepted (ET)
Feb 22, 2018 · 4:06 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 | holding | — | — | — | 34,565 | 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 | — | Feb 20, 2018 | A | 532 | A | — | — | Common Stock | 532 | 2,562 | D |
| Stock Options (Right to Buy) | $73.35 | holding | — | — | — | Feb 6, 2021 | Feb 6, 2025 | Common Stock | 8,120 | 8,120 | D |
| Stock Options (Right to Buy) | $46.35 | holding | — | — | — | Feb 7, 2020 | Feb 7, 2024 | Common Stock | 6,190 | 6,190 | D |
| Stock Options (Right to Buy) | $27.45 | holding | — | — | — | Feb 8, 2019 | Feb 8, 2023 | Common Stock | 23,260 | 23,260 | D |
Explanation of responses
- F1The conversion rate of this derivative security on February 20, 2018 is 1.1778 resulting in 3,018.032 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.