SEC Form 4 · accession 0001209191-15-014833
Roadrunner Transportation Systems, Inc. · RRTS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian J. van Helden
Officer — Chief Operating Officer
Period of report
Feb 12, 2015
Accepted (ET)
Feb 17, 2015 · 7:16 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001440024
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 12, 2015 | M | 14,378 | $13.39 | A | 47,806 | D | |
| Common StockF2 | Feb 12, 2015 | S | 14,378 | $25.3909 | D | 33,428 | D | |
| Common Stock | Feb 13, 2015 | M | 25,622 | $13.39 | A | 59,050 | D | |
| Common StockF3 | Feb 13, 2015 | S | 25,622 | $25.4497 | D | 33,428 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F4 | $13.39 | Feb 12, 2015 | M | 14,378 | D | — | Apr 9, 2017 | Common Stock | 14,378 | 48,856 | D |
| Employee Stock Option (Right to Buy)F4 | $13.39 | Feb 13, 2015 | M | 25,622 | D | — | Apr 9, 2017 | Common Stock | 25,622 | 23,234 | D |
Explanation of responses
- F1The shares were sold pursuant to a 10b5-1 sales plan.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.390 to $25.410, inclusive. The reporting person undertakes to provide to Roadrunner Transportation Systems, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.40 to $25.57, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- F425% of the options vested on May 1, 2008 and 6.25% vested at the end of each subsequent three-month period.