0001567619-19-005393.txt : 20190225 0001567619-19-005393.hdr.sgml : 20190225 20190225205515 ACCESSION NUMBER: 0001567619-19-005393 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190221 FILED AS OF DATE: 20190225 DATE AS OF CHANGE: 20190225 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FULLER MAX L CENTRAL INDEX KEY: 0000931421 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38528 FILM NUMBER: 19631385 MAIL ADDRESS: STREET 1: 4080 JENKINS ROAD CITY: CHATTANOOGA STATE: TN ZIP: 37421 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fuller Janice CENTRAL INDEX KEY: 0001743588 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38528 FILM NUMBER: 19631386 MAIL ADDRESS: STREET 1: 4080 JENKINS ROAD CITY: CHATTANOOGA STATE: TN ZIP: 37421 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fuller Family Enterprises, LLC CENTRAL INDEX KEY: 0001743589 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38528 FILM NUMBER: 19631387 BUSINESS ADDRESS: STREET 1: 4080 JENKINS ROAD CITY: CHATTANOOGA STATE: TN ZIP: 37421 BUSINESS PHONE: 4235103000 MAIL ADDRESS: STREET 1: 4080 JENKINS ROAD CITY: CHATTANOOGA STATE: TN ZIP: 37421 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: US XPRESS ENTERPRISES INC CENTRAL INDEX KEY: 0000923571 STANDARD INDUSTRIAL CLASSIFICATION: TRUCKING (NO LOCAL) [4213] IRS NUMBER: 621378182 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4080 JENKINS ROAD CITY: CHATTANOOGA STATE: TN ZIP: 37421 BUSINESS PHONE: 4235103000 MAIL ADDRESS: STREET 1: 4080 JENKINS ROAD CITY: CHATTANOOGA STATE: TN ZIP: 37421 4 1 doc1.xml FORM 4 X0306 4 2019-02-21 0 0000923571 US XPRESS ENTERPRISES INC USX 0000931421 FULLER MAX L 4080 JENKINS ROAD CHATTANOOGA TN 37421 1 1 1 1 Executive Chairman Member & Co-Trustee 0001743588 Fuller Janice 4080 JENKINS ROAD CHATTANOOGA TN 37421 0 0 1 0 0001743589 Fuller Family Enterprises, LLC 4080 JENKINS ROAD CHATTANOOGA TN 37421 0 0 1 0 Class A Common Stock 2019-02-21 4 A 0 15957 0 A 25332 D Class A Common Stock 688940 I Member Class B Common Stock 66663 D Class B Common Stock 8261776 I Member Class B Common Stock 1993269 I Co-Trustee Employee Stock Option (Right to Buy) 9.40 2019-02-21 4 A 0 0 0 A 2029-02-21 Class A Common Stock 0 0 D Represents a restricted stock award under the 2018 Omnibus Incentive Plan. The award vests in four equal installments on each of February 21, 2020, 2021, 2022, and 2023 and is subject to certain vesting, forfeiture, and termination provisions. Securities held by Mr. Fuller. 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 purposes. Shares held by the Max L. Fuller 2008 Irrevocable Trust FBO William E. Fuller, over which Ms. Janice Fuller and her son, Mr. Eric Fuller, are the co-trustees and have shared dispositive power and Mr. Eric Fuller has sole voting power. 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 purposes. The issuer has not finalized its option pricing model to determine the number of stock options granted to Mr. Max Fuller. When the number of stock options granted is determined, this Form 4 will be amended to disclose the number of stock options granted. Options vest in four equal installments on each of February 21, 2020, 2021, 2022, and 2023, and is subject to certain vesting, forfeiture, and termination provisions. /s/ Max L. Fuller, by Heidi Hornung-Scherr, attorney-in-fact, pursuant to a POA previously filed with the SEC 2019-02-25 /s/ Janice Fuller, by Heidi Hornung-Scherr, attorney-in-fact, pursuant to a POA previously filed with the SEC 2019-02-25 /s/ Max L. Fuller, member Fuller Family Enterprises, LLC, by Heidi Hornung-Scherr, attorney-in-fact, pursuant to a POA previously filed with the SEC 2019-02-25