Last 12 months
Inside the activity.
0 purchase rows · 17 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 1 |
| Dec 2025 | 0 | 2 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 9 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 2 |
| Aug 2026 | 0 | 3 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 24, 2017 Filed May 26, 2017 21:23 UTC |
Van Kirk Steven RichardExecutive VP Intermodal
|
Tax withholdingClass A Common Stock | 312 | $23.99 | $7,484.88 |
DisclosureSEC source: 0001561051-17-000009 · wf-form4_149583377419770.xml · nonDerivative · entry 1 Van Kirk Steven Richard · CIK 0001561051 · Executive VP Intermodal 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,537 F1 · shares: Represents the number of shares withheld to satisfy tax withholding obligations upon the vesting of Restricted Stock Units previously granted under the Company's 2014 Omnibus Incentive Plan. Read SEC document |
| May 24, 2017 Filed May 26, 2017 21:21 UTC |
Dragash Mickey RGeneral Counsel and Secretary
|
Tax withholdingClass A Common Stock | 538 | $23.99 | $12,906.62 |
DisclosureSEC source: 0001644159-17-000002 · wf-form4_149583367103615.xml · nonDerivative · entry 1 Dragash Mickey R · CIK 0001644159 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,422 F1 · shares: Represents the number of shares withheld to satisfy tax withholding obligations upon the vesting of Restricted Stock Units previously granted under the Company's 2014 Omnibus Incentive Plan. Read SEC document |
| May 24, 2017 Filed May 26, 2017 21:18 UTC |
Henkels VirginiaChief Financial Officer
|
Tax withholdingClass A Common Stock | 1,258 | $23.99 | $30,179.42 |
DisclosureSEC source: 0001506839-17-000010 · wf-form4_149583348308848.xml · nonDerivative · entry 1 Henkels Virginia · CIK 0001506839 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,247 F1 · shares: Represents the number of shares withheld to satisfy tax withholding obligations upon the vesting of Restricted Stock Units previously granted under the Company's 2014 Omnibus Incentive Plan. Read SEC document |
| May 24, 2017 Filed May 26, 2017 21:16 UTC |
Flanagan Cary MController
|
Tax withholdingClass A Common Stock | 489 | $23.99 | $11,731.11 |
DisclosureSEC source: 0001506973-17-000006 · wf-form4_149583334602345.xml · nonDerivative · entry 1 Flanagan Cary M · CIK 0001506973 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,289 F1 · shares: Represents the number of shares withheld to satisfy tax withholding obligations upon the vesting of Restricted Stock Units previously granted under the Company's 2014 Omnibus Incentive Plan. Read SEC document |
| May 22, 2017 Filed May 23, 2017 12:57 UTC |
Guin Timothy WEVP, Sales & Marketing
|
Tax withholdingClass A Common Stock | 187 | $22.65 | $4,235.55 |
DisclosureSEC source: 0001674640-17-000004 · wf-form4_149555862905010.xml · nonDerivative · entry 1 Guin Timothy W · CIK 0001674640 · EVP, Sales & Marketing 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,187 F1 · shares: Represents the number of shares withheld to satisfy tax withholding obligations upon the vesting of Restricted Stock Units previously granted under the Company's 2014 Omnibus Incentive Plan. Read SEC document |
| May 22, 2017 Filed May 23, 2017 17:05 UTC |
Flanagan Cary MController
|
Tax withholdingClass A Common Stock | 314 | $22.65 | $7,112.10 |
DisclosureSEC source: 0001506973-17-000004 · wf-form4_149555911039493.xml · nonDerivative · entry 1 Flanagan Cary M · CIK 0001506973 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,778 F1 · shares: Represents the number of shares withheld to satisfy tax withholding obligations upon the vesting of Restricted Stock Units previously granted under the Company's 2014 Omnibus Incentive Plan. Read SEC document |
| May 22, 2017 Filed May 23, 2017 17:04 UTC |
Stocking RichardPresident and CEO
|
Tax withholdingClass A Common Stock | 2,155 | $22.65 | $48,810.75 |
DisclosureSEC source: 0001325054-17-000009 · wf-form4_149555904061198.xml · nonDerivative · entry 1 Stocking Richard · CIK 0001325054 · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,333 F1 · shares: Represents the number of shares withheld to satisfy tax withholding obligations upon the vesting of Restricted Stock Units previously granted under the Company's 2014 Omnibus Incentive Plan. Read SEC document |
| May 22, 2017 Filed May 23, 2017 17:02 UTC |
Runnels Kenneth CExecutive VP Fleet Operations
|
Tax withholdingClass A Common Stock | 278 | $22.65 | $6,296.70 |
DisclosureSEC source: 0001506972-17-000007 · wf-form4_149555894474826.xml · nonDerivative · entry 1 Runnels Kenneth C · CIK 0001506972 · Executive VP Fleet Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,067 F1 · shares: Represents the number of shares withheld to satisfy tax withholding obligations upon the vesting of Restricted Stock Units previously granted under the Company's 2014 Omnibus Incentive Plan. Read SEC document |
| May 22, 2017 Filed May 23, 2017 17:01 UTC |
Van Kirk Steven RichardExecutive VP Intermodal
|
Tax withholdingClass A Common Stock | 288 | $22.65 | $6,523.20 |
DisclosureSEC source: 0001561051-17-000007 · wf-form4_149555885482346.xml · nonDerivative · entry 1 Van Kirk Steven Richard · CIK 0001561051 · Executive VP Intermodal 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,849 F1 · shares: Represents the number of shares withheld to satisfy tax withholding obligations upon the vesting of Restricted Stock Units previously granted under the Company's 2014 Omnibus Incentive Plan. Read SEC document |
| May 22, 2017 Filed May 23, 2017 16:58 UTC |
Henkels VirginiaChief Financial Officer
|
Tax withholdingClass A Common Stock | 801 | $22.65 | $18,142.65 |
DisclosureSEC source: 0001506839-17-000008 · wf-form4_149555871317832.xml · nonDerivative · entry 1 Henkels Virginia · CIK 0001506839 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,505 F1 · shares: Represents the number of shares withheld to satisfy tax withholding obligations upon the vesting of Restricted Stock Units previously granted under the Company's 2014 Omnibus Incentive Plan. Read SEC document |
| May 08, 2017 Filed May 9, 2017 12:47 UTC |
Guin Timothy WEVP, Sales & Marketing
|
Tax withholdingClass A Common Stock | 227 | $24.17 | $5,486.59 |
DisclosureSEC source: 0001674640-17-000002 · wf-form4_149434845371436.xml · nonDerivative · entry 1 Guin Timothy W · CIK 0001674640 · EVP, Sales & Marketing 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,374 F1 · shares: Represents the number of shares withheld to satisfy tax withholding obligations upon the vesting of Restricted Stock Units previously granted under the Company's 2007 Omnibus Incentive Plan. Read SEC document |
| May 08, 2017 Filed May 9, 2017 16:49 UTC |
Stocking RichardPresident and CEO
|
Tax withholdingClass A Common Stock | 2,125 | $24.17 | $51,361.25 |
DisclosureSEC source: 0001325054-17-000005 · wf-form4_149434853632303.xml · nonDerivative · entry 1 Stocking Richard · CIK 0001325054 · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,488 F1 · shares: Represents the number of shares withheld to satisfy tax withholding obligations upon the vesting of Restricted Stock Units previously granted under the Company's 2007 Omnibus Incentive Plan. Read SEC document |
| May 08, 2017 Filed May 9, 2017 16:46 UTC |
Henkels VirginiaChief Financial Officer
|
Tax withholdingClass A Common Stock | 781 | $24.17 | $18,876.77 |
DisclosureSEC source: 0001506839-17-000006 · wf-form4_149434838732441.xml · nonDerivative · entry 1 Henkels Virginia · CIK 0001506839 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,306 F1 · shares: Represents the number of shares withheld to satisfy tax withholding obligations upon the vesting of Restricted Stock Units previously granted under the Company's 2007 Omnibus Incentive Plan. Read SEC document |
| May 08, 2017 Filed May 9, 2017 16:44 UTC |
Runnels Kenneth CExecutive VP Fleet Operations
|
Tax withholdingClass A Common Stock | 296 | $24.17 | $7,154.32 |
DisclosureSEC source: 0001506972-17-000005 · wf-form4_149434827916334.xml · nonDerivative · entry 1 Runnels Kenneth C · CIK 0001506972 · Executive VP Fleet Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,345 F1 · shares: Represents the number of shares withheld to satisfy tax withholding obligations upon the vesting of Restricted Stock Units previously granted under the Company's 2007 Omnibus Incentive Plan. Read SEC document |
| May 08, 2017 Filed May 9, 2017 16:43 UTC |
Van Kirk Steven RichardExecutive VP Intermodal
|
Tax withholdingClass A Common Stock | 328 | $24.17 | $7,927.76 |
DisclosureSEC source: 0001561051-17-000005 · wf-form4_149434820079874.xml · nonDerivative · entry 1 Van Kirk Steven Richard · CIK 0001561051 · Executive VP Intermodal 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,137 F1 · shares: Represents the number of shares withheld to satisfy tax withholding obligations upon the vesting of Restricted Stock Units previously granted under the Company's 2007 Omnibus Incentive Plan. Read SEC document |
| May 08, 2017 Filed May 9, 2017 16:42 UTC |
Flanagan Cary MController
|
Tax withholdingClass A Common Stock | 317 | $24.17 | $7,661.89 |
DisclosureSEC source: 0001506973-17-000002 · wf-form4_149434812424902.xml · nonDerivative · entry 1 Flanagan Cary M · CIK 0001506973 · Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,092 F1 · shares: Represents the number of shares withheld to satisfy tax withholding obligations upon the vesting of Restricted Stock Units previously granted under the Company's 2007 Omnibus Incentive Plan. Read SEC document |
| May 02, 2017 Filed May 4, 2017 00:57 UTC |
DOZER RICHARD HDirector
|
SaleClass A Common Stock | 1,833 | $24.26 | $44,469.31 |
DisclosureSEC source: 0001628280-17-004835 · wf-form4_149385945988249.xml · nonDerivative · entry 1 DOZER RICHARD H · CIK 0001364761 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,572 F1 · kind: Sale to cover taxes owed upon vesting of restricted shares of Class A common stock, previously granted. F1 · shares: Sale to cover taxes owed upon vesting of restricted shares of Class A common stock, previously granted. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 20:20 UTC |
MOYES JERRYDirector · 10% owner · Member of 10% group
MOYES VICKIE10% owner
MOYES JERRY & VICKIE FAMILY TRUST10% owner
|
Exercise / conversionEmployee Stock Option (Right-to-buy) · Derivative | 103,306 | $0.00 Strike: $15.51 | $0.00 |
DisclosureSEC source: 0001140361-17-010381 · doc1.xml · derivative · entry 14 MOYES JERRY · CIK 0000901736 · Director · 10% owner · Member of 10% group MOYES VICKIE · CIK 0001272829 · 10% owner MOYES JERRY & VICKIE FAMILY TRUST · CIK 0001092565 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 103,306 shares Expires 2017-03-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F8 · security: Options were granted under the Issuer's 2014 Omnibus Plan. Upon exercise, the options convert to the Issuer's Class A common stock on a one-to-one basis. F9 · derivative.exercise_date: The original grant of 103,306 options was scheduled to vest and become exercisable in three equal annual installments, beginning with the first anniversary from the grant date of May 24, 2016. However, upon entering into the Agreement dated September 8, 2016 between Mr. Moyes and the Issuer, announcing Mr. Moyes' planned retirement effective December 31, 2016, the options immediately vested in accordance with the terms of the Agreement between Mr. Moyes and the Issuer. F7 · derivative.expiration_date: Expiration dates were accelerated to March 31, 2017 due to the officer's separation of employment from the Issuer as of December 31, 2016. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 20:20 UTC |
MOYES JERRYDirector · 10% owner · Member of 10% group
MOYES VICKIE10% owner
MOYES JERRY & VICKIE FAMILY TRUST10% owner
|
Exercise / conversionEmployee Stock Option (Right-to-buy) · Derivative | 132,270 | $0.00 Strike: $13.36 | $0.00 |
DisclosureSEC source: 0001140361-17-010381 · doc1.xml · derivative · entry 13 MOYES JERRY · CIK 0000901736 · Director · 10% owner · Member of 10% group MOYES VICKIE · CIK 0001272829 · 10% owner MOYES JERRY & VICKIE FAMILY TRUST · CIK 0001092565 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 132,270 shares Expires 2017-03-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · security: Options were granted under the Issuer's 2007 Omnibus Incentive Plan (amended and restated as of December 15, 2010). Upon exercise, the options convert to the Issuer's Class A common stock on a one-to-one basis. F6 · derivative.exercise_date: The original grant of 132,270 options vested and became exercisable in three equal annual installments, beginning with the first anniversary from the grant date of February 22, 2013. F7 · derivative.expiration_date: Expiration dates were accelerated to March 31, 2017 due to the officer's separation of employment from the Issuer as of December 31, 2016. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 20:20 UTC |
MOYES JERRYDirector · 10% owner · Member of 10% group
MOYES VICKIE10% owner
MOYES JERRY & VICKIE FAMILY TRUST10% owner
|
Tax withholdingClass A Common Stock | 6,218 | $21.72 | $135,054.96 |
DisclosureSEC source: 0001140361-17-010381 · doc1.xml · nonDerivative · entry 6 MOYES JERRY · CIK 0000901736 · Director · 10% owner · Member of 10% group MOYES VICKIE · CIK 0001272829 · 10% owner MOYES JERRY & VICKIE FAMILY TRUST · CIK 0001092565 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,017 F4 · shares: Represents the number of shares withheld to satisfy tax obligations upon the February 28, 2017 final vesting of performance shares. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 20:20 UTC |
MOYES JERRYDirector · 10% owner · Member of 10% group
MOYES VICKIE10% owner
MOYES JERRY & VICKIE FAMILY TRUST10% owner
|
GrantClass A Common Stock | 13,214 | $21.72 | $287,008.08 |
DisclosureSEC source: 0001140361-17-010381 · doc1.xml · nonDerivative · entry 5 MOYES JERRY · CIK 0000901736 · Director · 10% owner · Member of 10% group MOYES VICKIE · CIK 0001272829 · 10% owner MOYES JERRY & VICKIE FAMILY TRUST · CIK 0001092565 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,235 F3 · shares: Represents performance shares awarded, pursuant to the Issuer's 2007 Omnibus Incentive Plan (amended and restated as of December 15, 2010). The performance share awards were granted on May 6, 2014 and had a three-year performance period ending on December 31, 2016. The Issuer's Board of Directors approved the final vesting on February 28, 2017, based on the results of the performance period. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 20:20 UTC |
MOYES JERRYDirector · 10% owner · Member of 10% group
MOYES VICKIE10% owner
MOYES JERRY & VICKIE FAMILY TRUST10% owner
|
Tax withholdingClass A Common Stock | 38,102 | $21.72 | $827,575.44 |
DisclosureSEC source: 0001140361-17-010381 · doc1.xml · nonDerivative · entry 4 MOYES JERRY · CIK 0000901736 · Director · 10% owner · Member of 10% group MOYES VICKIE · CIK 0001272829 · 10% owner MOYES JERRY & VICKIE FAMILY TRUST · CIK 0001092565 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,201 F2 · shares: Represents the number of shares withheld to satisfy tax withholding obligations upon the February 28, 2017 exercise of options. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 20:20 UTC |
MOYES JERRYDirector · 10% owner · Member of 10% group
MOYES VICKIE10% owner
MOYES JERRY & VICKIE FAMILY TRUST10% owner
|
Tax withholdingClass A Common Stock | 155,128 | $21.72 | $3,369,380.16 |
DisclosureSEC source: 0001140361-17-010381 · doc1.xml · nonDerivative · entry 3 MOYES JERRY · CIK 0000901736 · Director · 10% owner · Member of 10% group MOYES VICKIE · CIK 0001272829 · 10% owner MOYES JERRY & VICKIE FAMILY TRUST · CIK 0001092565 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,123 F1 · shares: Represents the number of shares swapped to satisfy the payment of the exercise price upon the February 28, 2017 exercise of options. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 20:20 UTC |
MOYES JERRYDirector · 10% owner · Member of 10% group
MOYES VICKIE10% owner
MOYES JERRY & VICKIE FAMILY TRUST10% owner
|
Exercise / conversionClass A Common Stock | 103,306 | $15.51 | $1,602,276.06 |
DisclosureSEC source: 0001140361-17-010381 · doc1.xml · nonDerivative · entry 2 MOYES JERRY · CIK 0000901736 · Director · 10% owner · Member of 10% group MOYES VICKIE · CIK 0001272829 · 10% owner MOYES JERRY & VICKIE FAMILY TRUST · CIK 0001092565 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 271,251 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 20:20 UTC |
MOYES JERRYDirector · 10% owner · Member of 10% group
MOYES VICKIE10% owner
MOYES JERRY & VICKIE FAMILY TRUST10% owner
|
Exercise / conversionClass A Common Stock | 132,270 | $13.36 | $1,767,127.20 |
DisclosureSEC source: 0001140361-17-010381 · doc1.xml · nonDerivative · entry 1 MOYES JERRY · CIK 0000901736 · Director · 10% owner · Member of 10% group MOYES VICKIE · CIK 0001272829 · 10% owner MOYES JERRY & VICKIE FAMILY TRUST · CIK 0001092565 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,945 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 22:10 UTC |
Van Kirk Steven RichardExecutive VP Intermodal
|
Tax withholdingClass A Common Stock | 413 | $21.72 | $8,970.36 |
DisclosureSEC source: 0001561051-17-000003 · wf-form4_148849260783166.xml · nonDerivative · entry 2 Van Kirk Steven Richard · CIK 0001561051 · Executive VP Intermodal 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,465 F2 · shares: Represents the number of shares withheld to satisfy tax obligations upon the February 28, 2017 final vesting of performance shares. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 22:10 UTC |
Van Kirk Steven RichardExecutive VP Intermodal
|
GrantClass A Common Stock | 1,137 | $21.72 | $24,695.64 |
DisclosureSEC source: 0001561051-17-000003 · wf-form4_148849260783166.xml · nonDerivative · entry 1 Van Kirk Steven Richard · CIK 0001561051 · Executive VP Intermodal 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,878 F1 · shares: Represents performance shares awarded, pursuant to the Issuer's 2007 Omnibus Incentive Plan (amended and restated as of December 15, 2010). The performance share awards were granted on May 6, 2014 and had a three-year performance period ending on December 31, 2016. The Issuer's Board of Directors approved the final vesting on February 28, 2017, based on the results of the performance period. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 23:44 UTC |
Runnels Kenneth CExecutive VP Fleet Operations
|
Tax withholdingClass A Common Stock | 411 | $21.72 | $8,926.92 |
DisclosureSEC source: 0001506972-17-000003 · wf-form4_148849827876857.xml · nonDerivative · entry 2 Runnels Kenneth C · CIK 0001506972 · Executive VP Fleet Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,641 F2 · shares: Represents the number of shares withheld to satisfy tax obligations upon the February 28, 2017 final vesting of performance shares. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 23:44 UTC |
Runnels Kenneth CExecutive VP Fleet Operations
|
GrantClass A Common Stock | 1,160 | $21.72 | $25,195.20 |
DisclosureSEC source: 0001506972-17-000003 · wf-form4_148849827876857.xml · nonDerivative · entry 1 Runnels Kenneth C · CIK 0001506972 · Executive VP Fleet Operations 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,052 F1 · shares: Represents performance shares awarded, pursuant to the Issuer's 2007 Omnibus Incentive Plan (amended and restated as of December 15, 2010). The performance share awards were granted on May 6, 2014 and had a three-year performance period ending on December 31, 2016. The Issuer's Board of Directors approved the final vesting on February 28, 2017, based on the results of the performance period. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 22:08 UTC |
Henkels VirginiaChief Financial Officer
|
Tax withholdingClass A Common Stock | 763 | $21.72 | $16,572.36 |
DisclosureSEC source: 0001506839-17-000003 · wf-form4_148849247174149.xml · nonDerivative · entry 2 Henkels Virginia · CIK 0001506839 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,087 F2 · shares: Represents the number of shares withheld to satisfy tax obligations upon the February 28, 2017 final vesting of performance shares. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 22:08 UTC |
Henkels VirginiaChief Financial Officer
|
GrantClass A Common Stock | 2,070 | $21.72 | $44,960.40 |
DisclosureSEC source: 0001506839-17-000003 · wf-form4_148849247174149.xml · nonDerivative · entry 1 Henkels Virginia · CIK 0001506839 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,850 F1 · shares: Represents performance shares awarded, pursuant to the Issuer's 2007 Omnibus Incentive Plan (amended and restated as of December 15, 2010). The performance share awards were granted on May 6, 2014 and had a three-year performance period ending on December 31, 2016. The Issuer's Board of Directors approved the final vesting on February 28, 2017, based on the results of the performance period. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 22:05 UTC |
Stocking RichardPresident and CEO
|
Tax withholdingClass A Common Stock | 1,847 | $21.72 | $40,116.84 |
DisclosureSEC source: 0001325054-17-000003 · wf-form4_148849230027455.xml · nonDerivative · entry 2 Stocking Richard · CIK 0001325054 · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,613 F2 · shares: Represents the number of shares withheld to satisfy tax obligations upon the February 28, 2017 final vesting of performance shares. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 22:05 UTC |
Stocking RichardPresident and CEO
|
GrantClass A Common Stock | 5,574 | $21.72 | $121,067.28 |
DisclosureSEC source: 0001325054-17-000003 · wf-form4_148849230027455.xml · nonDerivative · entry 1 Stocking Richard · CIK 0001325054 · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,460 F1 · shares: Represents performance shares awarded, pursuant to the Issuer's 2007 Omnibus Incentive Plan (amended and restated as of December 15, 2010). The performance share awards were granted on May 6, 2014 and had a three-year performance period ending on December 31, 2016. The Issuer's Board of Directors approved the final vesting on February 28, 2017, based on the results of the performance period. Read SEC document |
| November 30, 2016 Filed Dec 1, 2016 10:07 UTC |
Guin Timothy WEVP, Sales
|
Exercise / conversionEmployee Stock Option (Right-to-buy) · Derivative | 40,000 | $0.00 Strike: $5.68 | $0.00 |
DisclosureSEC source: 0001674640-16-000013 · wf-form4_148060483746021.xml · derivative · entry 3 Guin Timothy W · CIK 0001674640 · EVP, Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 40,000 shares Expires 2021-10-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: Options were granted under the Issuer's 2007 Omnibus Incentive Plan (amended and restated as of December 15, 2010). Upon exercise, the options convert to the Issuer's Class A common stock on a one-to-one basis. F3 · derivative.exercise_date: The original grant of 75,000 options vested and became exercisable in three equal annual installments, beginning with the third anniversary from the October 3, 2011 grant date. Read SEC document |
| November 30, 2016 Filed Dec 1, 2016 10:07 UTC |
Guin Timothy WEVP, Sales
|
SaleClass A Common Stock | 40,000 | $25.05 | $1,002,000.00 |
DisclosureSEC source: 0001674640-16-000013 · wf-form4_148060483746021.xml · nonDerivative · entry 2 Guin Timothy W · CIK 0001674640 · EVP, Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,601 F1 · price: The price of $25.05 reported in Column 4 is the weighted average price. The shares were sold in multiple transactions at prices ranging from $24.90 to $25.26. The reporting person undertakes to provide Swift Transportation Company, any securities holders of Swift Transportation Company, or the staff of the Securities and Exchange Commission, upon request, all information regarding the number of shares sold at each separate price within this range. Read SEC document |
| November 30, 2016 Filed Dec 1, 2016 10:07 UTC |
Guin Timothy WEVP, Sales
|
Exercise / conversionClass A Common Stock | 40,000 | $5.68 | $227,200.00 |
DisclosureSEC source: 0001674640-16-000013 · wf-form4_148060483746021.xml · nonDerivative · entry 1 Guin Timothy W · CIK 0001674640 · EVP, Sales 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,601 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 30, 2016 Filed Dec 1, 2016 10:05 UTC |
Alexander Brian PatrickVP of Pricing and Strategy
|
Exercise / conversionEmployee Stock Option (Right-to-buy) · Derivative | 32,000 | $0.00 Strike: $11.00 | $0.00 |
DisclosureSEC source: 0001604940-16-000005 · wf-form4_148060473053921.xml · derivative · entry 3 Alexander Brian Patrick · CIK 0001604940 · VP of Pricing and Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 32,000 shares Expires 2017-10-16 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · security: Options were granted under the Issuer's 2007 Omnibus Incentive Plan. Upon exercise, the options convert to the Issuer's Class A common stock on a one-to-one basis. F4 · derivative.exercise_date: The options vested and became exercisable in three equal annual installments, beginning with the third anniversary from the October 16, 2007 grant date. Read SEC document |
| November 30, 2016 Filed Dec 1, 2016 10:05 UTC |
Alexander Brian PatrickVP of Pricing and Strategy
|
SaleClass A Common Stock | 19,508 | $25.02 | $488,090.16 |
DisclosureSEC source: 0001604940-16-000005 · wf-form4_148060473053921.xml · nonDerivative · entry 2 Alexander Brian Patrick · CIK 0001604940 · VP of Pricing and Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,626 F1 · shares: Reflects an exercise of 32,000 options and related sale of 19,508 shares to cover option cost and taxes, with the residual 12,492 shares held long in the reporting person's brokerage account. F2 · price: The price of $25.02 reported in column 4 is the weighted average price. The shares were sold in multiple transactions at prices ranging from $25.00 to $25.15. The reporting person undertakes to provide Swift Transportation Company, any securities holders of Swift Transportation Company, or the staff of the Securities and Exchange Commission, upon request, all information regarding the number of shares sold at each separate price within this range. Read SEC document |
| November 30, 2016 Filed Dec 1, 2016 10:05 UTC |
Alexander Brian PatrickVP of Pricing and Strategy
|
Exercise / conversionClass A Common Stock | 32,000 | $11.00 | $352,000.00 |
DisclosureSEC source: 0001604940-16-000005 · wf-form4_148060473053921.xml · nonDerivative · entry 1 Alexander Brian Patrick · CIK 0001604940 · VP of Pricing and Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,134 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Reflects an exercise of 32,000 options and related sale of 19,508 shares to cover option cost and taxes, with the residual 12,492 shares held long in the reporting person's brokerage account. Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 11:46 UTC |
MOYES JERRYDirector · Co-CEO · 10% owner · Member of 10% group
MOYES JERRY & VICKIE FAMILY TRUST10% owner
MOYES VICKIE10% owner
|
OtherRight to Purchase · Derivative | 1 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-16-087510 · doc1.xml · derivative · entry 10 MOYES JERRY · CIK 0000901736 · Director · Co-CEO · 10% owner · Member of 10% group MOYES JERRY & VICKIE FAMILY TRUST · CIK 0001092565 · 10% owner MOYES VICKIE · CIK 0001272829 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Manager and Member Disclosed balance after: 1 Underlying: Class A Common Stock · 6,761,400 shares Expires 2017-11-30 F9 · derivative.exercise_price: The reported transactions involve an amendment to an existing and previously reported Sale and Repurchase Agreement (the "Repurchase Agreement") by Cactus Holding Company II, LLC ("Cactus II"), which amended the expiration date from May 30, 2017 to November 30, 2017. As previously disclosed, in connection with the entry into the Repurchase Agreement in May 2014, Cactus II received an aggregate of $84,483,693, with a fully recourse obligation to repurchase the underlying securities for the same price on the expiration date and the right to repurchase the underlying securities for the same price at any time prior to the expiration date. F9 · kind: The reported transactions involve an amendment to an existing and previously reported Sale and Repurchase Agreement (the "Repurchase Agreement") by Cactus Holding Company II, LLC ("Cactus II"), which amended the expiration date from May 30, 2017 to November 30, 2017. As previously disclosed, in connection with the entry into the Repurchase Agreement in May 2014, Cactus II received an aggregate of $84,483,693, with a fully recourse obligation to repurchase the underlying securities for the same price on the expiration date and the right to repurchase the underlying securities for the same price at any time prior to the expiration date. F9 · price: The reported transactions involve an amendment to an existing and previously reported Sale and Repurchase Agreement (the "Repurchase Agreement") by Cactus Holding Company II, LLC ("Cactus II"), which amended the expiration date from May 30, 2017 to November 30, 2017. As previously disclosed, in connection with the entry into the Repurchase Agreement in May 2014, Cactus II received an aggregate of $84,483,693, with a fully recourse obligation to repurchase the underlying securities for the same price on the expiration date and the right to repurchase the underlying securities for the same price at any time prior to the expiration date. F12 · ownership.direct: Securities are held directly by Cactus II. Cactus II is a wholly owned subsidiary of Cactus III, of which the reporting persons constitute all of the members. The JVMF Trust is the manager of Cactus II. Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 11:46 UTC |
MOYES JERRYDirector · Co-CEO · 10% owner · Member of 10% group
MOYES JERRY & VICKIE FAMILY TRUST10% owner
MOYES VICKIE10% owner
|
OtherRight to Purchase · Derivative | 1 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-16-087510 · doc1.xml · derivative · entry 9 MOYES JERRY · CIK 0000901736 · Director · Co-CEO · 10% owner · Member of 10% group MOYES JERRY & VICKIE FAMILY TRUST · CIK 0001092565 · 10% owner MOYES VICKIE · CIK 0001272829 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Manager and Member Disclosed balance after: 0 Underlying: Class A Common Stock · 6,761,400 shares Expires 2017-05-30 F9 · derivative.exercise_price: The reported transactions involve an amendment to an existing and previously reported Sale and Repurchase Agreement (the "Repurchase Agreement") by Cactus Holding Company II, LLC ("Cactus II"), which amended the expiration date from May 30, 2017 to November 30, 2017. As previously disclosed, in connection with the entry into the Repurchase Agreement in May 2014, Cactus II received an aggregate of $84,483,693, with a fully recourse obligation to repurchase the underlying securities for the same price on the expiration date and the right to repurchase the underlying securities for the same price at any time prior to the expiration date. F9 · kind: The reported transactions involve an amendment to an existing and previously reported Sale and Repurchase Agreement (the "Repurchase Agreement") by Cactus Holding Company II, LLC ("Cactus II"), which amended the expiration date from May 30, 2017 to November 30, 2017. As previously disclosed, in connection with the entry into the Repurchase Agreement in May 2014, Cactus II received an aggregate of $84,483,693, with a fully recourse obligation to repurchase the underlying securities for the same price on the expiration date and the right to repurchase the underlying securities for the same price at any time prior to the expiration date. F9 · price: The reported transactions involve an amendment to an existing and previously reported Sale and Repurchase Agreement (the "Repurchase Agreement") by Cactus Holding Company II, LLC ("Cactus II"), which amended the expiration date from May 30, 2017 to November 30, 2017. As previously disclosed, in connection with the entry into the Repurchase Agreement in May 2014, Cactus II received an aggregate of $84,483,693, with a fully recourse obligation to repurchase the underlying securities for the same price on the expiration date and the right to repurchase the underlying securities for the same price at any time prior to the expiration date. F12 · ownership.direct: Securities are held directly by Cactus II. Cactus II is a wholly owned subsidiary of Cactus III, of which the reporting persons constitute all of the members. The JVMF Trust is the manager of Cactus II. Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 11:46 UTC |
MOYES JERRYDirector · Co-CEO · 10% owner · Member of 10% group
MOYES JERRY & VICKIE FAMILY TRUST10% owner
MOYES VICKIE10% owner
|
OtherForward Sale Contract (obligation to sell) · Derivative | 1 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-16-087510 · doc1.xml · derivative · entry 8 MOYES JERRY · CIK 0000901736 · Director · Co-CEO · 10% owner · Member of 10% group MOYES JERRY & VICKIE FAMILY TRUST · CIK 0001092565 · 10% owner MOYES VICKIE · CIK 0001272829 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Manager and Member Disclosed balance after: 1 Underlying: Class A Common Stock · 3,300,000 shares Expires not disclosed F1 · derivative.exercise_price: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · derivative.exercise_price: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · derivative.exercise_price: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · derivative.exercise_price: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F8 · derivative.exercise_price: The reported transactions involve an amendment to an existing and previously reported VPF by Cactus I. The amendment increased the number of components from one to three and amended the Valuation Dates from November 25, 2016 to December 5, 2017 through December 7, 2017. The Number of Shares underlying each component was reduced from 3,300,000 shares underlying the previous single component to 1,100,000 shares underlying each of the three new components. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $22.00 and $26.40, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 3,300,000. Cactus I paid an amount equal to $5,250,000 in connection with this amendment. F1 · kind: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · kind: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · kind: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · kind: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F8 · kind: The reported transactions involve an amendment to an existing and previously reported VPF by Cactus I. The amendment increased the number of components from one to three and amended the Valuation Dates from November 25, 2016 to December 5, 2017 through December 7, 2017. The Number of Shares underlying each component was reduced from 3,300,000 shares underlying the previous single component to 1,100,000 shares underlying each of the three new components. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $22.00 and $26.40, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 3,300,000. Cactus I paid an amount equal to $5,250,000 in connection with this amendment. F1 · price: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · price: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · price: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · price: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F8 · price: The reported transactions involve an amendment to an existing and previously reported VPF by Cactus I. The amendment increased the number of components from one to three and amended the Valuation Dates from November 25, 2016 to December 5, 2017 through December 7, 2017. The Number of Shares underlying each component was reduced from 3,300,000 shares underlying the previous single component to 1,100,000 shares underlying each of the three new components. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $22.00 and $26.40, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 3,300,000. Cactus I paid an amount equal to $5,250,000 in connection with this amendment. F1 · derivative.exercise_date: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · derivative.exercise_date: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · derivative.exercise_date: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · derivative.exercise_date: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F8 · derivative.exercise_date: The reported transactions involve an amendment to an existing and previously reported VPF by Cactus I. The amendment increased the number of components from one to three and amended the Valuation Dates from November 25, 2016 to December 5, 2017 through December 7, 2017. The Number of Shares underlying each component was reduced from 3,300,000 shares underlying the previous single component to 1,100,000 shares underlying each of the three new components. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $22.00 and $26.40, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 3,300,000. Cactus I paid an amount equal to $5,250,000 in connection with this amendment. F1 · derivative.expiration_date: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · derivative.expiration_date: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · derivative.expiration_date: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · derivative.expiration_date: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F8 · derivative.expiration_date: The reported transactions involve an amendment to an existing and previously reported VPF by Cactus I. The amendment increased the number of components from one to three and amended the Valuation Dates from November 25, 2016 to December 5, 2017 through December 7, 2017. The Number of Shares underlying each component was reduced from 3,300,000 shares underlying the previous single component to 1,100,000 shares underlying each of the three new components. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $22.00 and $26.40, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 3,300,000. Cactus I paid an amount equal to $5,250,000 in connection with this amendment. F11 · ownership.direct: Securities are held directly by Cactus I. Cactus I is a wholly owned subsidiary of Cactus Holding Company III, LLC ("Cactus III"), of which the reporting persons constitute all of the members. The JVMF Trust is the manager of Cactus I and Cactus III. Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 11:46 UTC |
MOYES JERRYDirector · Co-CEO · 10% owner · Member of 10% group
MOYES JERRY & VICKIE FAMILY TRUST10% owner
MOYES VICKIE10% owner
|
OtherForward Sale Contract (obligation to sell) · Derivative | 1 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-16-087510 · doc1.xml · derivative · entry 7 MOYES JERRY · CIK 0000901736 · Director · Co-CEO · 10% owner · Member of 10% group MOYES JERRY & VICKIE FAMILY TRUST · CIK 0001092565 · 10% owner MOYES VICKIE · CIK 0001272829 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Manager and Member Disclosed balance after: 0 Underlying: Class A Common Stock · 3,300,000 shares Expires not disclosed F1 · derivative.exercise_price: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · derivative.exercise_price: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · derivative.exercise_price: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · derivative.exercise_price: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F8 · derivative.exercise_price: The reported transactions involve an amendment to an existing and previously reported VPF by Cactus I. The amendment increased the number of components from one to three and amended the Valuation Dates from November 25, 2016 to December 5, 2017 through December 7, 2017. The Number of Shares underlying each component was reduced from 3,300,000 shares underlying the previous single component to 1,100,000 shares underlying each of the three new components. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $22.00 and $26.40, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 3,300,000. Cactus I paid an amount equal to $5,250,000 in connection with this amendment. F1 · kind: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · kind: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · kind: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · kind: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F8 · kind: The reported transactions involve an amendment to an existing and previously reported VPF by Cactus I. The amendment increased the number of components from one to three and amended the Valuation Dates from November 25, 2016 to December 5, 2017 through December 7, 2017. The Number of Shares underlying each component was reduced from 3,300,000 shares underlying the previous single component to 1,100,000 shares underlying each of the three new components. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $22.00 and $26.40, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 3,300,000. Cactus I paid an amount equal to $5,250,000 in connection with this amendment. F1 · price: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · price: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · price: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · price: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F8 · price: The reported transactions involve an amendment to an existing and previously reported VPF by Cactus I. The amendment increased the number of components from one to three and amended the Valuation Dates from November 25, 2016 to December 5, 2017 through December 7, 2017. The Number of Shares underlying each component was reduced from 3,300,000 shares underlying the previous single component to 1,100,000 shares underlying each of the three new components. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $22.00 and $26.40, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 3,300,000. Cactus I paid an amount equal to $5,250,000 in connection with this amendment. F1 · derivative.exercise_date: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · derivative.exercise_date: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · derivative.exercise_date: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · derivative.exercise_date: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F8 · derivative.exercise_date: The reported transactions involve an amendment to an existing and previously reported VPF by Cactus I. The amendment increased the number of components from one to three and amended the Valuation Dates from November 25, 2016 to December 5, 2017 through December 7, 2017. The Number of Shares underlying each component was reduced from 3,300,000 shares underlying the previous single component to 1,100,000 shares underlying each of the three new components. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $22.00 and $26.40, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 3,300,000. Cactus I paid an amount equal to $5,250,000 in connection with this amendment. F1 · derivative.expiration_date: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · derivative.expiration_date: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · derivative.expiration_date: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · derivative.expiration_date: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F8 · derivative.expiration_date: The reported transactions involve an amendment to an existing and previously reported VPF by Cactus I. The amendment increased the number of components from one to three and amended the Valuation Dates from November 25, 2016 to December 5, 2017 through December 7, 2017. The Number of Shares underlying each component was reduced from 3,300,000 shares underlying the previous single component to 1,100,000 shares underlying each of the three new components. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $22.00 and $26.40, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 3,300,000. Cactus I paid an amount equal to $5,250,000 in connection with this amendment. F11 · ownership.direct: Securities are held directly by Cactus I. Cactus I is a wholly owned subsidiary of Cactus Holding Company III, LLC ("Cactus III"), of which the reporting persons constitute all of the members. The JVMF Trust is the manager of Cactus I and Cactus III. Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 11:46 UTC |
MOYES JERRYDirector · Co-CEO · 10% owner · Member of 10% group
MOYES JERRY & VICKIE FAMILY TRUST10% owner
MOYES VICKIE10% owner
|
OtherForward Sale Contract (obligation to sell) · Derivative | 1 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-16-087510 · doc1.xml · derivative · entry 6 MOYES JERRY · CIK 0000901736 · Director · Co-CEO · 10% owner · Member of 10% group MOYES JERRY & VICKIE FAMILY TRUST · CIK 0001092565 · 10% owner MOYES VICKIE · CIK 0001272829 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Manager and Member Disclosed balance after: 1 Underlying: Class A Common Stock · 13,700,000 shares Expires not disclosed F1 · derivative.exercise_price: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · derivative.exercise_price: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · derivative.exercise_price: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · derivative.exercise_price: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F7 · derivative.exercise_price: The reported transactions involve an amendment to an existing and previously reported VPF by M Capital II. The amendment increased the number of components from one to twenty and amended the Valuation Dates from November 25, 2016 to December 5, 2017 through January 3, 2018. The Number of Shares underlying each component was reduced from 13,700,000 shares underlying the previous single component to 685,000 shares underlying each of the twenty new components. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $22.00 and $26.40, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 13,700,000. M Capital II paid an amount equal to $21,750,000 in connection with this amendment. F1 · kind: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · kind: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · kind: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · kind: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F7 · kind: The reported transactions involve an amendment to an existing and previously reported VPF by M Capital II. The amendment increased the number of components from one to twenty and amended the Valuation Dates from November 25, 2016 to December 5, 2017 through January 3, 2018. The Number of Shares underlying each component was reduced from 13,700,000 shares underlying the previous single component to 685,000 shares underlying each of the twenty new components. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $22.00 and $26.40, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 13,700,000. M Capital II paid an amount equal to $21,750,000 in connection with this amendment. F1 · price: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · price: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · price: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · price: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F7 · price: The reported transactions involve an amendment to an existing and previously reported VPF by M Capital II. The amendment increased the number of components from one to twenty and amended the Valuation Dates from November 25, 2016 to December 5, 2017 through January 3, 2018. The Number of Shares underlying each component was reduced from 13,700,000 shares underlying the previous single component to 685,000 shares underlying each of the twenty new components. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $22.00 and $26.40, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 13,700,000. M Capital II paid an amount equal to $21,750,000 in connection with this amendment. F1 · derivative.exercise_date: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · derivative.exercise_date: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · derivative.exercise_date: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · derivative.exercise_date: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F7 · derivative.exercise_date: The reported transactions involve an amendment to an existing and previously reported VPF by M Capital II. The amendment increased the number of components from one to twenty and amended the Valuation Dates from November 25, 2016 to December 5, 2017 through January 3, 2018. The Number of Shares underlying each component was reduced from 13,700,000 shares underlying the previous single component to 685,000 shares underlying each of the twenty new components. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $22.00 and $26.40, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 13,700,000. M Capital II paid an amount equal to $21,750,000 in connection with this amendment. F1 · derivative.expiration_date: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · derivative.expiration_date: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · derivative.expiration_date: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · derivative.expiration_date: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F7 · derivative.expiration_date: The reported transactions involve an amendment to an existing and previously reported VPF by M Capital II. The amendment increased the number of components from one to twenty and amended the Valuation Dates from November 25, 2016 to December 5, 2017 through January 3, 2018. The Number of Shares underlying each component was reduced from 13,700,000 shares underlying the previous single component to 685,000 shares underlying each of the twenty new components. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $22.00 and $26.40, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 13,700,000. M Capital II paid an amount equal to $21,750,000 in connection with this amendment. F10 · ownership.direct: Securities are held directly by M Capital II. The reporting persons constitute certain of the members of M Capital II. The reporting persons disclaim any beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of these securities for Section 16 or for any other purpose. The Jerry and Vickie Moyes Family Trust (the "JVMF Trust") is the manager of M Capital II. Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 11:46 UTC |
MOYES JERRYDirector · Co-CEO · 10% owner · Member of 10% group
MOYES JERRY & VICKIE FAMILY TRUST10% owner
MOYES VICKIE10% owner
|
OtherForward Sale Contract (obligation to sell) · Derivative | 1 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-16-087510 · doc1.xml · derivative · entry 5 MOYES JERRY · CIK 0000901736 · Director · Co-CEO · 10% owner · Member of 10% group MOYES JERRY & VICKIE FAMILY TRUST · CIK 0001092565 · 10% owner MOYES VICKIE · CIK 0001272829 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Manager and Member Disclosed balance after: 0 Underlying: Class A Common Stock · 13,700,000 shares Expires not disclosed F1 · derivative.exercise_price: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · derivative.exercise_price: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · derivative.exercise_price: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · derivative.exercise_price: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F7 · derivative.exercise_price: The reported transactions involve an amendment to an existing and previously reported VPF by M Capital II. The amendment increased the number of components from one to twenty and amended the Valuation Dates from November 25, 2016 to December 5, 2017 through January 3, 2018. The Number of Shares underlying each component was reduced from 13,700,000 shares underlying the previous single component to 685,000 shares underlying each of the twenty new components. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $22.00 and $26.40, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 13,700,000. M Capital II paid an amount equal to $21,750,000 in connection with this amendment. F1 · kind: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · kind: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · kind: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · kind: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F7 · kind: The reported transactions involve an amendment to an existing and previously reported VPF by M Capital II. The amendment increased the number of components from one to twenty and amended the Valuation Dates from November 25, 2016 to December 5, 2017 through January 3, 2018. The Number of Shares underlying each component was reduced from 13,700,000 shares underlying the previous single component to 685,000 shares underlying each of the twenty new components. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $22.00 and $26.40, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 13,700,000. M Capital II paid an amount equal to $21,750,000 in connection with this amendment. F1 · price: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · price: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · price: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · price: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F7 · price: The reported transactions involve an amendment to an existing and previously reported VPF by M Capital II. The amendment increased the number of components from one to twenty and amended the Valuation Dates from November 25, 2016 to December 5, 2017 through January 3, 2018. The Number of Shares underlying each component was reduced from 13,700,000 shares underlying the previous single component to 685,000 shares underlying each of the twenty new components. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $22.00 and $26.40, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 13,700,000. M Capital II paid an amount equal to $21,750,000 in connection with this amendment. F1 · derivative.exercise_date: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · derivative.exercise_date: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · derivative.exercise_date: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · derivative.exercise_date: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F7 · derivative.exercise_date: The reported transactions involve an amendment to an existing and previously reported VPF by M Capital II. The amendment increased the number of components from one to twenty and amended the Valuation Dates from November 25, 2016 to December 5, 2017 through January 3, 2018. The Number of Shares underlying each component was reduced from 13,700,000 shares underlying the previous single component to 685,000 shares underlying each of the twenty new components. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $22.00 and $26.40, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 13,700,000. M Capital II paid an amount equal to $21,750,000 in connection with this amendment. F1 · derivative.expiration_date: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · derivative.expiration_date: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · derivative.expiration_date: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · derivative.expiration_date: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F7 · derivative.expiration_date: The reported transactions involve an amendment to an existing and previously reported VPF by M Capital II. The amendment increased the number of components from one to twenty and amended the Valuation Dates from November 25, 2016 to December 5, 2017 through January 3, 2018. The Number of Shares underlying each component was reduced from 13,700,000 shares underlying the previous single component to 685,000 shares underlying each of the twenty new components. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $22.00 and $26.40, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 13,700,000. M Capital II paid an amount equal to $21,750,000 in connection with this amendment. F10 · ownership.direct: Securities are held directly by M Capital II. The reporting persons constitute certain of the members of M Capital II. The reporting persons disclaim any beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of these securities for Section 16 or for any other purpose. The Jerry and Vickie Moyes Family Trust (the "JVMF Trust") is the manager of M Capital II. Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 11:46 UTC |
MOYES JERRYDirector · Co-CEO · 10% owner · Member of 10% group
MOYES JERRY & VICKIE FAMILY TRUST10% owner
MOYES VICKIE10% owner
|
OtherForward Sale Contract (obligation to sell) · Derivative | 1 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-16-087510 · doc1.xml · derivative · entry 4 MOYES JERRY · CIK 0000901736 · Director · Co-CEO · 10% owner · Member of 10% group MOYES JERRY & VICKIE FAMILY TRUST · CIK 0001092565 · 10% owner MOYES VICKIE · CIK 0001272829 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Manager and Member Disclosed balance after: 1 Underlying: Class A Common Stock · 7,005,984 shares Expires not disclosed F1 · derivative.exercise_price: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · derivative.exercise_price: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · derivative.exercise_price: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · derivative.exercise_price: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F6 · derivative.exercise_price: The reported transactions involve an amendment to an existing and previously reported VPF by Cactus I, under which the Forward Floor Price and Forward Cap Price remained unchanged at $14.7265 and $17.6718, respectively. The number of components remained unchanged at three. The Number of Shares underlying each component also remained unchanged at 2,335,328. The amendment amended the Valuation Dates from May 26, 2017 through May 31, 2017, to December 5, 2017 through December 7, 2017. The maximum number of shares to be delivered under this VPF remained unchanged at 7,005,984. F1 · kind: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · kind: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · kind: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · kind: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F6 · kind: The reported transactions involve an amendment to an existing and previously reported VPF by Cactus I, under which the Forward Floor Price and Forward Cap Price remained unchanged at $14.7265 and $17.6718, respectively. The number of components remained unchanged at three. The Number of Shares underlying each component also remained unchanged at 2,335,328. The amendment amended the Valuation Dates from May 26, 2017 through May 31, 2017, to December 5, 2017 through December 7, 2017. The maximum number of shares to be delivered under this VPF remained unchanged at 7,005,984. F1 · price: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · price: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · price: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · price: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F6 · price: The reported transactions involve an amendment to an existing and previously reported VPF by Cactus I, under which the Forward Floor Price and Forward Cap Price remained unchanged at $14.7265 and $17.6718, respectively. The number of components remained unchanged at three. The Number of Shares underlying each component also remained unchanged at 2,335,328. The amendment amended the Valuation Dates from May 26, 2017 through May 31, 2017, to December 5, 2017 through December 7, 2017. The maximum number of shares to be delivered under this VPF remained unchanged at 7,005,984. F1 · derivative.exercise_date: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · derivative.exercise_date: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · derivative.exercise_date: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · derivative.exercise_date: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F6 · derivative.exercise_date: The reported transactions involve an amendment to an existing and previously reported VPF by Cactus I, under which the Forward Floor Price and Forward Cap Price remained unchanged at $14.7265 and $17.6718, respectively. The number of components remained unchanged at three. The Number of Shares underlying each component also remained unchanged at 2,335,328. The amendment amended the Valuation Dates from May 26, 2017 through May 31, 2017, to December 5, 2017 through December 7, 2017. The maximum number of shares to be delivered under this VPF remained unchanged at 7,005,984. F1 · derivative.expiration_date: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · derivative.expiration_date: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · derivative.expiration_date: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · derivative.expiration_date: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F6 · derivative.expiration_date: The reported transactions involve an amendment to an existing and previously reported VPF by Cactus I, under which the Forward Floor Price and Forward Cap Price remained unchanged at $14.7265 and $17.6718, respectively. The number of components remained unchanged at three. The Number of Shares underlying each component also remained unchanged at 2,335,328. The amendment amended the Valuation Dates from May 26, 2017 through May 31, 2017, to December 5, 2017 through December 7, 2017. The maximum number of shares to be delivered under this VPF remained unchanged at 7,005,984. F11 · ownership.direct: Securities are held directly by Cactus I. Cactus I is a wholly owned subsidiary of Cactus Holding Company III, LLC ("Cactus III"), of which the reporting persons constitute all of the members. The JVMF Trust is the manager of Cactus I and Cactus III. Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 11:46 UTC |
MOYES JERRYDirector · Co-CEO · 10% owner · Member of 10% group
MOYES JERRY & VICKIE FAMILY TRUST10% owner
MOYES VICKIE10% owner
|
OtherForward Sale Contract (obligation to sell) · Derivative | 1 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-16-087510 · doc1.xml · derivative · entry 3 MOYES JERRY · CIK 0000901736 · Director · Co-CEO · 10% owner · Member of 10% group MOYES JERRY & VICKIE FAMILY TRUST · CIK 0001092565 · 10% owner MOYES VICKIE · CIK 0001272829 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Manager and Member Disclosed balance after: 0 Underlying: Class A Common Stock · 7,005,984 shares Expires not disclosed F1 · derivative.exercise_price: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · derivative.exercise_price: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · derivative.exercise_price: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · derivative.exercise_price: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F6 · derivative.exercise_price: The reported transactions involve an amendment to an existing and previously reported VPF by Cactus I, under which the Forward Floor Price and Forward Cap Price remained unchanged at $14.7265 and $17.6718, respectively. The number of components remained unchanged at three. The Number of Shares underlying each component also remained unchanged at 2,335,328. The amendment amended the Valuation Dates from May 26, 2017 through May 31, 2017, to December 5, 2017 through December 7, 2017. The maximum number of shares to be delivered under this VPF remained unchanged at 7,005,984. F1 · kind: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · kind: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · kind: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · kind: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F6 · kind: The reported transactions involve an amendment to an existing and previously reported VPF by Cactus I, under which the Forward Floor Price and Forward Cap Price remained unchanged at $14.7265 and $17.6718, respectively. The number of components remained unchanged at three. The Number of Shares underlying each component also remained unchanged at 2,335,328. The amendment amended the Valuation Dates from May 26, 2017 through May 31, 2017, to December 5, 2017 through December 7, 2017. The maximum number of shares to be delivered under this VPF remained unchanged at 7,005,984. F1 · price: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · price: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · price: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · price: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F6 · price: The reported transactions involve an amendment to an existing and previously reported VPF by Cactus I, under which the Forward Floor Price and Forward Cap Price remained unchanged at $14.7265 and $17.6718, respectively. The number of components remained unchanged at three. The Number of Shares underlying each component also remained unchanged at 2,335,328. The amendment amended the Valuation Dates from May 26, 2017 through May 31, 2017, to December 5, 2017 through December 7, 2017. The maximum number of shares to be delivered under this VPF remained unchanged at 7,005,984. F1 · derivative.exercise_date: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · derivative.exercise_date: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · derivative.exercise_date: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · derivative.exercise_date: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F6 · derivative.exercise_date: The reported transactions involve an amendment to an existing and previously reported VPF by Cactus I, under which the Forward Floor Price and Forward Cap Price remained unchanged at $14.7265 and $17.6718, respectively. The number of components remained unchanged at three. The Number of Shares underlying each component also remained unchanged at 2,335,328. The amendment amended the Valuation Dates from May 26, 2017 through May 31, 2017, to December 5, 2017 through December 7, 2017. The maximum number of shares to be delivered under this VPF remained unchanged at 7,005,984. F1 · derivative.expiration_date: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · derivative.expiration_date: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · derivative.expiration_date: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · derivative.expiration_date: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F6 · derivative.expiration_date: The reported transactions involve an amendment to an existing and previously reported VPF by Cactus I, under which the Forward Floor Price and Forward Cap Price remained unchanged at $14.7265 and $17.6718, respectively. The number of components remained unchanged at three. The Number of Shares underlying each component also remained unchanged at 2,335,328. The amendment amended the Valuation Dates from May 26, 2017 through May 31, 2017, to December 5, 2017 through December 7, 2017. The maximum number of shares to be delivered under this VPF remained unchanged at 7,005,984. F11 · ownership.direct: Securities are held directly by Cactus I. Cactus I is a wholly owned subsidiary of Cactus Holding Company III, LLC ("Cactus III"), of which the reporting persons constitute all of the members. The JVMF Trust is the manager of Cactus I and Cactus III. Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 11:46 UTC |
MOYES JERRYDirector · Co-CEO · 10% owner · Member of 10% group
MOYES JERRY & VICKIE FAMILY TRUST10% owner
MOYES VICKIE10% owner
|
OtherForward Sale Contract (obligation to sell) · Derivative | 1 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-16-087510 · doc1.xml · derivative · entry 2 MOYES JERRY · CIK 0000901736 · Director · Co-CEO · 10% owner · Member of 10% group MOYES JERRY & VICKIE FAMILY TRUST · CIK 0001092565 · 10% owner MOYES VICKIE · CIK 0001272829 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Manager and Member Disclosed balance after: 1 Underlying: Class A Common Stock · 12,294,016 shares Expires not disclosed F1 · derivative.exercise_price: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · derivative.exercise_price: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · derivative.exercise_price: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · derivative.exercise_price: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F5 · derivative.exercise_price: The reported transactions involve an amendment to an existing and previously reported VPF by M Capital II. The amendment increased the number of components from three to twenty and amended the Valuation Dates from May 26, 2017 through May 31, 2017, to December 5, 2017 through January 3, 2018. The Number of Shares underlying each component was reduced from 4,098,005, 4,098,005, and 4,098,006 shares underlying the previous three components, respectively, to 614,701 shares underlying nineteen of the new components and 614,697 shares underlying the twentieth component. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $14.7265 and $17.6718, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 12,294,016. F1 · kind: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · kind: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · kind: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · kind: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F5 · kind: The reported transactions involve an amendment to an existing and previously reported VPF by M Capital II. The amendment increased the number of components from three to twenty and amended the Valuation Dates from May 26, 2017 through May 31, 2017, to December 5, 2017 through January 3, 2018. The Number of Shares underlying each component was reduced from 4,098,005, 4,098,005, and 4,098,006 shares underlying the previous three components, respectively, to 614,701 shares underlying nineteen of the new components and 614,697 shares underlying the twentieth component. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $14.7265 and $17.6718, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 12,294,016. F1 · price: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · price: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · price: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · price: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F5 · price: The reported transactions involve an amendment to an existing and previously reported VPF by M Capital II. The amendment increased the number of components from three to twenty and amended the Valuation Dates from May 26, 2017 through May 31, 2017, to December 5, 2017 through January 3, 2018. The Number of Shares underlying each component was reduced from 4,098,005, 4,098,005, and 4,098,006 shares underlying the previous three components, respectively, to 614,701 shares underlying nineteen of the new components and 614,697 shares underlying the twentieth component. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $14.7265 and $17.6718, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 12,294,016. F1 · derivative.exercise_date: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · derivative.exercise_date: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · derivative.exercise_date: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · derivative.exercise_date: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F5 · derivative.exercise_date: The reported transactions involve an amendment to an existing and previously reported VPF by M Capital II. The amendment increased the number of components from three to twenty and amended the Valuation Dates from May 26, 2017 through May 31, 2017, to December 5, 2017 through January 3, 2018. The Number of Shares underlying each component was reduced from 4,098,005, 4,098,005, and 4,098,006 shares underlying the previous three components, respectively, to 614,701 shares underlying nineteen of the new components and 614,697 shares underlying the twentieth component. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $14.7265 and $17.6718, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 12,294,016. F1 · derivative.expiration_date: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · derivative.expiration_date: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · derivative.expiration_date: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · derivative.expiration_date: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F5 · derivative.expiration_date: The reported transactions involve an amendment to an existing and previously reported VPF by M Capital II. The amendment increased the number of components from three to twenty and amended the Valuation Dates from May 26, 2017 through May 31, 2017, to December 5, 2017 through January 3, 2018. The Number of Shares underlying each component was reduced from 4,098,005, 4,098,005, and 4,098,006 shares underlying the previous three components, respectively, to 614,701 shares underlying nineteen of the new components and 614,697 shares underlying the twentieth component. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $14.7265 and $17.6718, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 12,294,016. F10 · ownership.direct: Securities are held directly by M Capital II. The reporting persons constitute certain of the members of M Capital II. The reporting persons disclaim any beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of these securities for Section 16 or for any other purpose. The Jerry and Vickie Moyes Family Trust (the "JVMF Trust") is the manager of M Capital II. Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 11:46 UTC |
MOYES JERRYDirector · Co-CEO · 10% owner · Member of 10% group
MOYES JERRY & VICKIE FAMILY TRUST10% owner
MOYES VICKIE10% owner
|
OtherForward Sale Contract (obligation to sell) · Derivative | 1 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-16-087510 · doc1.xml · derivative · entry 1 MOYES JERRY · CIK 0000901736 · Director · Co-CEO · 10% owner · Member of 10% group MOYES JERRY & VICKIE FAMILY TRUST · CIK 0001092565 · 10% owner MOYES VICKIE · CIK 0001272829 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Manager and Member Disclosed balance after: 0 Underlying: Class A Common Stock · 12,294,016 shares Expires not disclosed F1 · derivative.exercise_price: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · derivative.exercise_price: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · derivative.exercise_price: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · derivative.exercise_price: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F5 · derivative.exercise_price: The reported transactions involve an amendment to an existing and previously reported VPF by M Capital II. The amendment increased the number of components from three to twenty and amended the Valuation Dates from May 26, 2017 through May 31, 2017, to December 5, 2017 through January 3, 2018. The Number of Shares underlying each component was reduced from 4,098,005, 4,098,005, and 4,098,006 shares underlying the previous three components, respectively, to 614,701 shares underlying nineteen of the new components and 614,697 shares underlying the twentieth component. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $14.7265 and $17.6718, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 12,294,016. F1 · kind: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · kind: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · kind: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · kind: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F5 · kind: The reported transactions involve an amendment to an existing and previously reported VPF by M Capital II. The amendment increased the number of components from three to twenty and amended the Valuation Dates from May 26, 2017 through May 31, 2017, to December 5, 2017 through January 3, 2018. The Number of Shares underlying each component was reduced from 4,098,005, 4,098,005, and 4,098,006 shares underlying the previous three components, respectively, to 614,701 shares underlying nineteen of the new components and 614,697 shares underlying the twentieth component. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $14.7265 and $17.6718, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 12,294,016. F1 · price: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · price: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · price: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · price: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F5 · price: The reported transactions involve an amendment to an existing and previously reported VPF by M Capital II. The amendment increased the number of components from three to twenty and amended the Valuation Dates from May 26, 2017 through May 31, 2017, to December 5, 2017 through January 3, 2018. The Number of Shares underlying each component was reduced from 4,098,005, 4,098,005, and 4,098,006 shares underlying the previous three components, respectively, to 614,701 shares underlying nineteen of the new components and 614,697 shares underlying the twentieth component. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $14.7265 and $17.6718, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 12,294,016. F1 · derivative.exercise_date: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · derivative.exercise_date: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · derivative.exercise_date: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · derivative.exercise_date: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F5 · derivative.exercise_date: The reported transactions involve an amendment to an existing and previously reported VPF by M Capital II. The amendment increased the number of components from three to twenty and amended the Valuation Dates from May 26, 2017 through May 31, 2017, to December 5, 2017 through January 3, 2018. The Number of Shares underlying each component was reduced from 4,098,005, 4,098,005, and 4,098,006 shares underlying the previous three components, respectively, to 614,701 shares underlying nineteen of the new components and 614,697 shares underlying the twentieth component. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $14.7265 and $17.6718, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 12,294,016. F1 · derivative.expiration_date: Effective as of November 18, 2016, Cactus Holding Company, LLC ("Cactus I") and M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · derivative.expiration_date: Under the VPFs, Cactus I or M Capital II, as applicable, is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · derivative.expiration_date: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · derivative.expiration_date: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F5 · derivative.expiration_date: The reported transactions involve an amendment to an existing and previously reported VPF by M Capital II. The amendment increased the number of components from three to twenty and amended the Valuation Dates from May 26, 2017 through May 31, 2017, to December 5, 2017 through January 3, 2018. The Number of Shares underlying each component was reduced from 4,098,005, 4,098,005, and 4,098,006 shares underlying the previous three components, respectively, to 614,701 shares underlying nineteen of the new components and 614,697 shares underlying the twentieth component. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $14.7265 and $17.6718, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 12,294,016. F10 · ownership.direct: Securities are held directly by M Capital II. The reporting persons constitute certain of the members of M Capital II. The reporting persons disclaim any beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of these securities for Section 16 or for any other purpose. The Jerry and Vickie Moyes Family Trust (the "JVMF Trust") is the manager of M Capital II. Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 16:49 UTC |
Moyes MichaelMember of 10% owner group
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OtherForward Sale Contract (obligation to sell) · Derivative | 1 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-16-087512 · doc1.xml · derivative · entry 4 Moyes Michael · CIK 0001507663 · Member of 10% owner group 10b5-1 filing: Not disclosed Ownership: Indirect · Member Disclosed balance after: 1 Underlying: Class A Common Stock · 13,700,000 shares Expires not disclosed F1 · derivative.exercise_price: Effective as of November 18, 2016, M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · derivative.exercise_price: Under the VPFs, M Capital II is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · derivative.exercise_price: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · derivative.exercise_price: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F6 · derivative.exercise_price: The reported transactions involve an amendment to an existing and previously reported VPF by M Capital II. The amendment increased the number of components from one to twenty and amended the Valuation Dates from November 25, 2016 to December 5, 2017 through January 3, 2018. The Number of Shares underlying each component was reduced from 13,700,000 shares underlying the previous single component to 685,000 shares underlying each of the twenty new components. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $22.00 and $26.40, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 13,700,000. M Capital II paid an amount equal to $21,750,000 in connection with this amendment. F1 · kind: Effective as of November 18, 2016, M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · kind: Under the VPFs, M Capital II is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · kind: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · kind: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F6 · kind: The reported transactions involve an amendment to an existing and previously reported VPF by M Capital II. The amendment increased the number of components from one to twenty and amended the Valuation Dates from November 25, 2016 to December 5, 2017 through January 3, 2018. The Number of Shares underlying each component was reduced from 13,700,000 shares underlying the previous single component to 685,000 shares underlying each of the twenty new components. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $22.00 and $26.40, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 13,700,000. M Capital II paid an amount equal to $21,750,000 in connection with this amendment. F1 · price: Effective as of November 18, 2016, M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · price: Under the VPFs, M Capital II is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · price: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · price: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F6 · price: The reported transactions involve an amendment to an existing and previously reported VPF by M Capital II. The amendment increased the number of components from one to twenty and amended the Valuation Dates from November 25, 2016 to December 5, 2017 through January 3, 2018. The Number of Shares underlying each component was reduced from 13,700,000 shares underlying the previous single component to 685,000 shares underlying each of the twenty new components. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $22.00 and $26.40, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 13,700,000. M Capital II paid an amount equal to $21,750,000 in connection with this amendment. F1 · derivative.exercise_date: Effective as of November 18, 2016, M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · derivative.exercise_date: Under the VPFs, M Capital II is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · derivative.exercise_date: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · derivative.exercise_date: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F6 · derivative.exercise_date: The reported transactions involve an amendment to an existing and previously reported VPF by M Capital II. The amendment increased the number of components from one to twenty and amended the Valuation Dates from November 25, 2016 to December 5, 2017 through January 3, 2018. The Number of Shares underlying each component was reduced from 13,700,000 shares underlying the previous single component to 685,000 shares underlying each of the twenty new components. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $22.00 and $26.40, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 13,700,000. M Capital II paid an amount equal to $21,750,000 in connection with this amendment. F1 · derivative.expiration_date: Effective as of November 18, 2016, M Capital Group Investors II, LLC ("M Capital II"), amended certain prepaid variable share forward contracts (each a "VPF" and, collectively, the "VPFs"), as further described herein. F2 · derivative.expiration_date: Under the VPFs, M Capital II is obligated to deliver a variable amount of Class A Common Stock, par value $0.01 per share, of Swift Transportation Company ("Class A Common Stock"), or an equivalent amount of cash, upon certain dates set forth in the VPFs. The number of shares deliverable under the VPFs depends on the "Forward Floor Price," "Forward Cap Price," "Number of Shares," and "Settlement Price," each as defined in the applicable VPFs. The VPFs have one or more components, each with its own "Valuation Date" and "Number of Shares." F3 · derivative.expiration_date: The actual number of shares required to be delivered under each component of the VPFs depends on the Settlement Price with respect to such component. If the Settlement Price is less than or equal to the Forward Floor Price on the relevant Valuation Date, the Number of Shares attributable to that component must be delivered. If the Settlement Price is greater than the Forward Floor Price but less than or equal to the Forward Cap Price, the number of shares to be delivered equals the Forward Floor Price, divided by the Settlement Price, multiplied by the Number of Shares. If the Settlement Price is greater than the Forward Cap Price, the number of shares to be delivered is the equal to the product of (i) the Number of Shares and (ii) a fraction (a) the numerator of which is the sum of (x) the Forward Floor Price and (y) the Settlement Price minus the Forward Cap Price, and (b) the denominator of which is the Settlement Price. F4 · derivative.expiration_date: The Settlement Price under the VPFs is defined as the volume-weighted average price per share of Class A Common Stock on the New York Stock Exchange on the relevant "Valuation Date" (as defined in each component). The shares or cash deliverable generally must be delivered on the date that is one Settlement Cycle (as defined in 2002 ISDA Equity Derivatives Definitions) following the relevant Valuation Date. F6 · derivative.expiration_date: The reported transactions involve an amendment to an existing and previously reported VPF by M Capital II. The amendment increased the number of components from one to twenty and amended the Valuation Dates from November 25, 2016 to December 5, 2017 through January 3, 2018. The Number of Shares underlying each component was reduced from 13,700,000 shares underlying the previous single component to 685,000 shares underlying each of the twenty new components. The Forward Floor Price and Forward Cap Price under this VPF remained unchanged at $22.00 and $26.40, respectively. The maximum number of shares to be delivered under this VPF remained unchanged at 13,700,000. M Capital II paid an amount equal to $21,750,000 in connection with this amendment. F7 · ownership.direct: Securities are held directly by M Capital II. The reporting person is the trustee of five trusts that constitute certain of the members of M Capital II and is the beneficiary of a trust that is also a member of M Capital II. The reporting person disclaims any beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of these securities for Section 16 or for any other purpose. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.