|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: 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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WARD JONATHAN P 2000 CLEARWATER DRIVE OAK BROOK, IL 60523 |
X |
Jonathan P. Ward | 01/06/2014 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Restricted stock subject to a vesting schedule. The restricted stock grant was made by the Board of Directors of Hub Group, Inc. on January 2, 2014. |
(2) | Since the date of Mr. Ward's last ownership report, he transferred to his ex-wife pursuant to a domestic relations order: (i) 1,006 shares of fully vested Class A Common Stock, (ii) 1,667 unvested shares of Class A Common Stock (with half of such unvested shares vesting on January 2, 2014 and half scheduled to vest on January 2, 2015) and (iii) 100% of Mr. Ward's restricted stock unit award granted on January 2, 2013. Mr. Ward no longer reports as beneficially owned any shares or restricted stock units owned by his ex-wife. |
(3) | Disposition of shares to satisfy withholding tax obligations with respect to 833 shares on which restrictions lapsed as of 1/2/2014. |
(4) | 5,833 of the shares of Class A Common Stock are restricted stock subject to vesting requirements. |