Initial Statement of Beneficial Ownership (3)
October 16 2019 - 5:22PM
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
*
Stenglein Thomas D. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
10/4/2019
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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 / |
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(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 | 5929 (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 |
| Employee Stock Option (Right to Buy) | (2) | 3/21/2026 | Common Stock | 11111 | $12.50 | D | |
| Employee Stock Option (Right to Buy) | (3) | 5/22/2026 | Common Stock | 11811 | $12.50 | D | |
| Explanation of Responses: |
| (1) | Includes (i) 929 shares that were acquired upon delivery of vested restricted stock units (net of shares withheld to satisfy tax withholding obligations on vesting of restricted stock units) and (ii) 5,000 shares underlying restricted stock units that are not yet vested and deliverable. |
| (2) | One-third of the options vest on each of May 15, 2019, May 15, 2020, and May 15, 2021. |
| (3) | One-third of the options vest on each of May 22, 2020, May 22, 2021, and May 22, 2022. |
Remarks:
The reporting person is the President - Active On Demand. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Stenglein Thomas D.
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/ Thomas D. Stenglein | | 10/16/2019 |
| **Signature of Reporting Person | Date |
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