SEC Form 4 · accession 0001104659-17-018846
Daseke, Inc. · DSKE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel J Hennessy
Director
Period of report
Mar 21, 2017
Accepted (ET)
Mar 23, 2017 · 4:17 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001642453
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Mar 21, 2017 | J | 1,848,043 | $0.00 | D | 0 | I | See footnote |
| Common StockF3 | Mar 21, 2017 | J | 625,998 | $0.00 | A | 625,998 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF1,F2 | $5.75 | Mar 21, 2017 | J | 15,080,756 | D | Mar 29, 2017 | Feb 27, 2022 | Common Stock | 7,540,378 | 0 | I |
| WarrantsF3 | $5.75 | Mar 21, 2017 | J | 375,000 | A | Mar 29, 2017 | Feb 27, 2022 | Common Stock | 187,500 | 375,000 | D |
Explanation of responses
- F1Represents the pro rata distribution of the shares of common stock and warrants of the registrant held by Hennessy Capital Partners II, LLC ("HCP") to all of its members or their permitted transferees.
- F2These securities were previously held directly by HCP. The reporting person is the managing member of Hennessy Capital, LLC, which is the managing member of HCP.
- F3Represents receipt of the reporting person's pro rata distribution of the shares of common stock and warrants of the registrant held by HCP.