Filing Details
- Accession Number:
- 0001604940-16-000005
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-12-01 10:05:43
- Reporting Period:
- 2016-11-30
- Filing Date:
- 2016-12-01
- Accepted Time:
- 2016-12-01 10:05:43
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1492691 | Swift Transportation Co | SWFT | Trucking (No Local) (4213) | 205589597 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1604940 | Patrick Brian Alexander | C/O Swift Transportation Company 2200 South 75Th Avenue Phoenix AZ 85043 | No | No | No | Yes |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2016-11-30 | 32,000 | $11.00 | 37,134 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2016-11-30 | 19,508 | $25.02 | 17,626 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Employee Stock Option (Right-to-buy) | Disposition | 2016-11-30 | 32,000 | $0.00 | 32,000 | $11.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2017-10-16 | No | 4 | M | Direct |
Footnotes
- 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.
- 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.
- 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.
- The options vested and became exercisable in three equal annual installments, beginning with the third anniversary from the October 16, 2007 grant date.
Billionaire Hedge Funds
