Initial Statement of Beneficial Ownership (3)
April 23 2020 - 05:48PM
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
Estimated average burden
hours per response... 0.5 |
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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] |
(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)
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5. If Amendment, Date Original
Filed(MM/DD/YYYY)
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6. Individual or Joint/Group
Filing(Check Applicable
Line)_X_ Form filed by One Reporting
Person
___ Form filed by More than One Reporting Person |
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 |
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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
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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 |
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4/23/2020 |
**Signature of Reporting
Person |
Date |