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
UNIVERSAL LOGISTICS HOLDINGS, INC. [ ULH ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 12/10/2020 | ||||||||||||||||||||||||||
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, no par value | 08/06/2020 | J(1) | V | 1,918,921 | D | $0.00 | 81,079(1) | I | By Nora M. Moroun Annuity Trust(1) | |
Common Stock, no par value | 09/18/2020 | G | V | 1,200,000 | D | $0.00 | 12,831,215 | D | ||
Common Stock, no par value | 09/18/2020 | G | V | 1,200,000 | A | $0.00 | 1,200,000(2) | I | By spouse(2) | |
Common Stock, no par value | 12/08/2020 | G | V | 447,400 | A | $0.00 | 447,400(3) | I | By 2020 Nora Moroun Trust(3) | |
Common Stock, no par value | 12/08/2020 | G | V | 914,450 | D | $0.00 | 285,550 | I | By spouse | |
Common Stock, no par value | 12/08/2020 | G | V | 914,450 | A | $0.00 | 914,450(4) | I | By 2020 Lindsay Moroun Trust(4) | |
Common Stock, no par value | 12/10/2020 | P(5) | 1,471,521 | A | $19.4477 | 14,302,736 | D | |||
Common Stock, no par value | 3,427,557(6) | I | By Manuel J. Moroun Revocable Trust(6) |
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 |
Explanation of Responses: |
1. On August 6, 2020, 1,918,921 shares were distributed from the Nora M. Moroun 2019 Annuity Trust dated April 25, 2019 (the "2019 NMM Annuity Trust") to Nora M. Moroun, individually, pursuant to the terms of the trust. The Reporting Person is the trustee of the 2019 NMM Annuity Trust, and Nora M. Moroun is the mother of the Reporting Person. 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. |
2. On September 18, 2020, the Reporting Person transferred 1,200,000 shares to his spouse, Lindsay S. Moroun. 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. On December 8, 2020, 447,400 shares were transferred by Nora M. Moroun, individually, to the 2020 Irrevocable Nora M. Moroun Trust dated November 20, 2020 (the "2020 Nora Moroun Trust"), for which the Reporting Person serves as trustee. 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. On December 8, 2020, 914,450 shares were transferred by Lindsay S. Moroun to the 2020 Irrevocable Lindsay Moroun Trust dated November 20, 2020, for which the Reporting Person serves as trustee. 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 purchased the shares from his mother, Nora M. Moroun, in a privately negotiated transaction. |
6. The Reporting Person became trustee of the Manuel J. Moroun Revocable Trust Under Agreement, dated March 24, 1977 (the "MJM Trust"), following the death of Manuel J. Moroun on July 12, 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. |
Remarks: |
/s/ Matthew T. Moroun | 12/14/2020 | |
** 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. |