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XPO, Inc. — Director's Dealing 2015
Jan 6, 2015
30406_dirs_2015-01-06_2e20edb7-bc2a-45f4-b5f3-a8243014ece2.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: XPO Logistics, Inc. (XPO)
CIK: 0001166003
Period of Report: 2015-01-02
Reporting Person: Kingshott Adrian (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-01-02 | Common Stock, par value $0.001 per share | M | 2500 | — | Acquired | 7500 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-01-02 | Restricted Stock Unit | $ | M | 2500 | Disposed | Common Stock, par value $0.001 per share (2500.0) | Direct | |
| 2015-01-02 | Restricted Stock Unit | $ | A | 4257 | Acquired | Common Stock, par value $0.001 per share (4257.0) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Director Stock Option (right to buy) | $23.19 | 2023-12-12 | Common Stock, par value $0.001 per share (8000.0) | 8000 | Direct |
| Director Stock Option (right to buy) | $16.74 | 2022-12-11 | Common Stock, par value $0.001 per share (8000.0) | 8000 | Direct |
| Director Stock Option (right to buy) | $9.28 | 2021-11-21 | Common Stock, par value $0.001 per share (8000.0) | 8000 | Direct |
| See footnote | $7.0 | Common Stock, par value $0.001 per share (42857.0) | 300 | Direct | |
| Warrants | $7.0 | 2021-09-02 | Common Stock, par value $0.001 per share (42857.0) | 42857 | Direct |
Footnotes
F1: Each Restricted Stock Unit ("RSU") represents a contingent right to receive, upon settlement, either (i) one share of Common Stock or (ii) a cash payment equal to the fair market value of one share of Common Stock.
F2: The Restricted Stock Units vested in full on January 2, 2015.
F3: The Restricted Stock Units shall vest on January 2, 2016, subject to the Reporting Person's continued service as a director of the Issuer.
F4: The Director Stock Options vested and became exercisable on January 2, 2015.
F5: Series A Convertible Perpetual Preferred Stock, par value $0.001 per share.
F6: The initial conversion price of the Series A Convertible Perpetual Preferred Stock is $7 per share of Common Stock, subject to adjustment as set forth in the Certificate of Designation of Series A Convertible Perpetual Preferred Stock, filed as Exhibit 4.1 to the Issuer's Current Report on Form 8-K filed with the SEC on September 6, 2011 (the "Certificate of Designation").
F7: The Series A Convertible Perpetual Preferred Stock has no expiration date.
F8: Represents 42,857 shares of Common Stock initially issuable upon conversion of 300 shares of Series A Convertible Perpetual Preferred Stock, subject to adjustment as set forth in the Certificate of Designation.
F9: The initial exercise price of the Warrants is $7 per share of Common Stock, subject to adjustment as set forth in the Form of Warrant Certificate, filed as Exhibit 4.2 to the Issuer's Current Report on Form 8-K filed with the SEC on September 6, 2011 (the "Warrant Certificate").
F10: Represents 42,857 shares of Common Stock initially issuable upon conversion of 42,857 Warrants, subject to adjustment as set forth in the Warrant Certificate.