0001567619-21-006422.txt : 20210316 0001567619-21-006422.hdr.sgml : 20210316 20210316170552 ACCESSION NUMBER: 0001567619-21-006422 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210314 FILED AS OF DATE: 20210316 DATE AS OF CHANGE: 20210316 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: 21746810 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: 21746808 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 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: 21746809 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 2021-03-14 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 B Common Stock 2021-03-14 4 M 0 66663 A 266652 D Class B Common Stock 8261776 I Member Class B Common Stock 1993269 I Co-trustee Class A Common Stock 116735 D Class A Common Stock 843170 I Member Restricted Stock Units 2021-03-14 4 M 0 66663 0 D Class B Common Stock 66663 200004 D Restricted Stock Units ("RSUs") convert into Class B Common Stock on a one-for-one basis. Shares held by Mr. Max Fuller. Represents (i) 2,753,926 shares of Class B common stock held by FSBSPE 1, LLC (ii) 2,753,925 shares of Class B common stock held by FSBSPE 2, LLC, and (iii) 2,753,925 shares of Class B common stock held by FSBSPE 3, LLC. FSBSPE 1, LLC FSBSPE 2, LLC, and FSBSPE 3, LLC are wholly owned subsidiaries of 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. 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. 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. The remaining RSUs will vest in three approximately equal installments on each of March 14, 2022, 2023, and 2024, subject to continuous employment through each respective vesting date and certain other termination and forfeiture conditions. /s/ Max L. Fuller, by Heidi Hornung-Scherr, attorney-in-fact, pursuant to a POA previously filed with the SEC 2021-03-16 /s/ Janice Fuller, by Heidi Hornung-Scherr, attorney-in-fact, pursuant to a POA previously filed with the SEC 2021-03-16 /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 2021-03-16