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
YRC Worldwide Inc. [ YRCW ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 09/16/2011 | ||||||||||||||||||||||||||
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, par value $0.01 per share ("Common Stock") | 09/16/2011 | S | 5,000,000 | D | $0.0939 | 23,088,024 | I | See footnote(1) | ||
Common Stock | 09/16/2011 | S | 2,000,000 | D | $0.0703 | 21,088,024 | I | See footnote(1) | ||
Common Stock | 09/19/2011 | S | 1,959,227 | D | $0.0817 | 19,128,797 | I | See footnote(1) | ||
Common Stock | 09/20/2011 | S | 111,677 | D | $0.0721 | 19,017,120 | I | See footnote(1) | ||
Common Stock | 09/21/2011 | S | 928,800 | D | $0.07 | 18,088,320 | I | See footnote(1) | ||
Common Stock | 09/26/2011 | S | 1,474,687 | D | $0.057 | 16,613,633 | I | See footnote(1) | ||
Common Stock | 09/27/2011 | S | 8,000,000 | D | $0.0598 | 8,613,633 | I | See footnote(1) | ||
Common Stock | 09/28/2011 | S | 1,475,637 | D | $0.0503 | 7,137,996 | I | See footnote(1) | ||
Common Stock | 09/29/2011 | S | 652,769 | D | $0.0507 | 6,485,227 | I | See footnote(1) | ||
Common Stock | 09/30/2011 | S | 2,000,000 | D | $0.0483 | 4,485,227 | I | See footnote(1) | ||
Common Stock | 10/03/2011 | S | 929,499 | D | $0.0473 | 3,555,728 | I | See footnote(1) | ||
Common Stock | 10/04/2011 | S | 1,826,989 | D | $0.0385 | 1,728,739 | I | See footnote(1) | ||
Common Stock | 10/05/2011 | S | 1,725,000 | D | $0.0432 | 3,739 | I | See footnote(1) | ||
Common Stock | 10/05/2011 | S | 4,000,000 | D | $0.0417 | 0 | I | See footnote(1) | ||
Common Stock | 10/06/2011 | S | 1,000,000 | D | $0.047 | 0 | I | See footnote(1) | ||
Common Stock | 10/13/2011 | C | 27,506,556 | A | (2) | 22,510,295 | I | See footnote(1) |
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 | ||||||||
10% Series B Convertible Senior Secured Notes Due 2015 | (2) | 10/13/2011 | C | 1,207,341 | 09/16/2011 | 03/31/2015 | Common Stock | 27,506,556 | (2) | 1,144,523 | I | See footnote(1) |
Explanation of Responses: |
1. All of the securities reported are owned directly by The Royal Bank of Scotland plc ("RBS"). All of the shares of RBS are owned by The Royal Bank of Scotland Group plc ("RBSG"). Each of RBS and RBSG disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. This form is filed without prejudice to the reporting person's position that none of RBSG or RBS or any of their subsidiaries, individually or in the aggregate, are required to file beneficial ownership reports under Section 16(a) of the Securities Exchange Act of 1934, and should not be construed or interpreted as a concession or admission that such reports are required. |
2. The 10% Series B Convertible Senior Secured Notes Due 2015 ("Series B Notes") were converted at a rate of 16,187 shares of Common Stock per $1000 of Series B Notes in accordance with the terms thereof as described in the Registration Statement on Form S-1 filed with the Securities and Exchange Commission on September 23, 2011. |
Remarks: |
/s/ Richard Hopkins, THE ROYAL BANK OF SCOTLAND plc, Name: Richard Hopkins, Title: Manager, Share Aggregation & Reporting | 01/04/2012 | |
** 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. |