Statement of Changes in Beneficial Ownership (4)
11 May 2023 - 6:18AM
Edgar (US Regulatory)
FORM 4
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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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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0.5
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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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1. Name and Address of Reporting Person
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MOROUN MATTHEW T |
2. Issuer Name and Ticker or Trading Symbol
UNIVERSAL LOGISTICS HOLDINGS, INC.
[
ULH
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
12225 STEPHENS ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/8/2023 |
(Street)
WARREN, MI 48089 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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(City)
(State)
(Zip)
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Rule 10b5-1(c) Transaction Indication
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Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to
satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, no par value | 5/8/2023 | | A(1) | | 590 | A | $25.42 (1) | 14303973 | D | |
Common Stock, no par value | 5/8/2023 | | A(1) | | 590 | A | $25.42 (1) | 1237 | I | By son (2) |
Common Stock, no par value | | | | | | | | 3871527 | I | By 2020 Nora Moroun Trust (3) |
Common Stock, no par value | | | | | | | | 285550 | I | By spouse (2) |
Common Stock, no par value | | | | | | | | 762042 | I | By 2020 Lindsay Moroun Trust (4) |
Common Stock, no par value | | | | | | | | 236917 | I | By Redoubtable LLC (5) |
Common Stock, no par value | | | | | | | | 24402 | I | By 2020 Agnes Anne Moroun Trust (6) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 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 |
Explanation of Responses: |
(1) | Award of common stock as part of annual retainer for non-employee directors. |
(2) | The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such shares. |
(3) | The Reporting Person is trustee of the 2020 Irrevocable Nora M. Moroun Trust dated November 20, 2020. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his residual pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such shares. |
(4) | The Reporting Person serves as trustee of the 2020 Irrevocable Lindsay Moroun Trust dated November 20, 2020. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such shares. |
(5) | The Reporting Person is manager of Redoubtable, LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such shares. |
(6) | The Reporting Person serves as trustee of the 2020 Agnes Anne Moroun Trust under Agreement dated December 28, 2020. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such shares. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
MOROUN MATTHEW T 12225 STEPHENS ROAD WARREN, MI 48089 | X | X |
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Signatures
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/s/ Matthew T. Moroun | | 5/10/2023 |
**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 control number. |
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