Initial Statement of Beneficial Ownership (3)
April 23 2020 - 5:48PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Cook Christopher M |
2. Date of Event Requiring Statement (MM/DD/YYYY)
3/10/2020
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3. Issuer Name and Ticker or Trading Symbol
Roadrunner Transportation Systems, Inc. [RRTS]
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(Last)
(First)
(Middle)
1431 OPUS PLACE, SUITE 530 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) See Remarks / |
(Street)
DOWNERS GROVE, IL 60515
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 8185 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Includes (i) 318 shares acquired upon exercise of subscription rights, (ii) 1,200 shares that were acquired upon delivery of vested restricted stock units, (iii) 2,667 shares underlying restricted stock units granted on March 21, 2019, 1,333 of which shall vest on May 15, 2020 and 1,334 of which shall vest on May 15, 2021, and (iv) 4,000 shares underlying restricted stock units granted on May 22, 2019, one-third of which shall vest on each of May 22, 2020, May 22, 2021 and May 22, 2022 |
Remarks: The reporting person is the President - Ascent Domestic. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Cook Christopher M 1431 OPUS PLACE SUITE 530 DOWNERS GROVE, IL 60515 |
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| See Remarks |
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Signatures
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/s/ Christopher M. Cook | | 4/23/2020 |
**Signature of Reporting Person | Date |
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