FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Daseke, Inc. [ DSKE ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 12/31/2023 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 12/31/2023 | M | 61,561 | A | $0.00(1) | 443,571 | D | |||
Common Stock | 12/31/2023 | F | 24,225 | D | $8.1 | 419,346 | D | |||
Common Stock | 12/31/2023 | M | 29,433 | A | $0.00(2) | 448,779 | D | |||
Common Stock | 12/31/2023 | F | 11,582 | D | $8.1 | 437,197 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Unit | (1) | 12/31/2023 | M | 61,561 | (1) | (1) | Common Stock | 61,561 | $0.00 | 288,042 | D | ||||
Restricted Stock Unit | (2) | 12/31/2023 | M | 29,433 | (2) | (2) | Common Stock | 29,433 | $0.00 | 258,609 | D |
Explanation of Responses: |
1. On August 2, 2021, the Reporting Person received 184,645 restricted stock units ("RSUs") (61,542 of which vested on August 2, 2022; 61,542 of which vested on January 1, 2023; and 61,561 of which vested on December 31, 2023). The RSUs that vested on December 31, 2023 were initially scheduled to vest on January 1, 2024; the vesting date of such RSUs was accelerated in order to mitigate impacts that could arise under Section 280G of the Internal Revenue Code of 1986, as amended (the "Code"). Each RSU represented a contingent right to receive one share of the Issuer's common stock. Upon vesting, RSUs were settled in shares of the Issuer's common stock. |
2. On February 28, 2022, the Reporting Person received 88,308 RSUs (29,433 of which vested on March 1, 2023; 29,433 of which vested on December 31, 2023; and 29,442 of which are scheduled to vest on January 1, 2025). The RSUs that vested on December 31, 2023 were initially scheduled to vest on January 1, 2024; the vesting date of such RSUs was accelerated in order to mitigate impacts that could arise under Section 280G of the Code. Each RSU represented a contingent right to receive one share of the Issuer's common stock. Upon vesting, RSUs were settled in shares of the Issuer's common stock. |
/s/ Soumit Roy, attorney-in-fact | 01/03/2024 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |