Fuller Max L's Form 4/A amendment
AmendedUS Xpress Enterprises Inc (USX) · filed May 18, 2022
- Accession no.
- 0001567619-22-011198
- Filed
- May 18, 2022, 5:15 PM ET
- Trade date
- May 12, 2022
- Filing delay
- 6 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- May 12, 2022
This filing lists 1 non-derivative transaction. It carries over 2 transactions from the original filing that it did not restate. Open-market purchases total $902.6K. It was filed 6 days after the trade.
This amendment restates part of 0001567619-22-010298 (filed May 12, 2022). The transactions it did not restate still count and are listed below.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Fuller Max LCIK 0000931421 | Director, Officer (Executive Chairman), 10% Owner, Other: Member & Co-Trustee |
| Fuller JaniceCIK 0001743588 | 10% Owner |
| Fuller Family Enterprises, LLCCIK 0001743589 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 12, 2022 | Class A Common Stock | PPurchaseAcquired | +118,108 | $2.99F2 | +$353,083.87 | 1,393,636 | Indirect |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001567619-22-010298 (filed May 12, 2022).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 10, 2022 | Class A Common Stock | PPurchaseAcquired | +69,274 | $2.87F1 | +$199,148.9 | 1,158,044 | Indirect | |
| May 11, 2022 | Class A Common Stock | PPurchaseAcquired | +117,484 | $2.98F3 | +$350,325.54 | 1,275,528 | Indirect |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F1
Price of $2.8748 is a weighted average purchase price for multiple transactions ranging from $2.73 to $3.00, inclusive. The reporting persons undertake to provide, upon request by the SEC staff, the issuer, or a stockholder of the issuer, full information regarding the number of shares purchased at each separate price.
Referenced by the price of 1 transaction in Table I.
- F3
Price of $2.9819 is a weighted average purchase price for multiple transactions ranging from $2.925 to $3.00, inclusive. The reporting persons undertake to provide, upon request by the SEC staff, the issuer, or a stockholder of the issuer, full information regarding the number of shares purchased at each separate price.
Referenced by the price of 1 transaction in Table I.
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
On May 12, 2022, the reporting persons filed a Form 4 which inadvertently omitted the purchase of 118,108 shares of Class A common stock by Fuller Family Enterprises, LLC on May 12, 2022.
- F2
Price of $2.9895 is a weighted average purchase price for multiple transactions ranging from $2.95 to $3.00, inclusive. The reporting persons undertake to provide, upon request by the SEC staff, the issuer, or a stockholder of the issuer, full information regarding the number of shares purchased at each separate price.
Referenced by the price of 1 transaction in Table I.
- F3
Shares held by Fuller Family Enterprises, LLC, in which Mr. Max Fuller and Ms. Janice Fuller are each members. Mr. Max Fuller and Ms. Janice Fuller each disclaim beneficial ownership of these securities except to the extent of his or her respective pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported securities for purposes of Section 16 or for any other purpose.