SEC Form 4 · accession 0001246360-15-000940
ALASKA AIR GROUP, INC. · ALK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bradley D Tilden
Officer — CHAIRMAN, PRESIDENT AND CEO
Period of report
Feb 13, 2015
Accepted (ET)
Feb 18, 2015 · 6:07 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000766421
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| COMMON STOCKF4 | Feb 13, 2015 | S | 38,897 | $62.1187 | D | 271,642 | D | |
| COMMON STOCKF5 | Feb 13, 2015 | S | 7,150 | $62.5171 | D | 264,492 | D | |
| COMMON STOCK | Feb 14, 2015 | A | 22,400 | $0.00 | A | 286,892 | D | |
| RESTRICTED STOCK UNIT | Feb 14, 2015 | J | 22,400 | $0.00 | D | 35,980 | D | |
| COMMON STOCK | Feb 14, 2015 | F | 8,871 | $62.56 | D | 278,021 | D | |
| COMMON STOCK 401(K)F1,F2 | holding | — | — | — | 15,473 | I | ESOP TRUST |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1COMMON SHARES HELD IN THE ALASKA AIR GROUP INC. EMPLOYEE STOCK OWNERSHIP 401(K) PLAN TRUST AS OF 12/31/14.
- F2TOTAL SHARES BENEFICIALLY HELD HAVE BEEN ADJUSTED TO GIVE EFFECT TO THE 2-FOR-1 STOCK SPLIT THAT OCCURRED ON 7/9/2014.
- F3SALE OF ALASKA AIR GROUP COMMON SHARES EFFECTED PURSUANT TO A RULE 10b5-1 TRADING PLAN ADOPTED BY MR. TILDEN ON 12-05-2014.
- F4THE PRICE REPORTED IN COLUMN 4 IS A WEIGHTED AVERAGE PRICE. THESE SHARES SOLD IN MULTIPLE TRANSACTIONS AT PRICES RANGING FROM $61.45 TO $62.4467, INCLUSIVE. THE REPORTING PERSON UNDERTAKES TO PROVIDE TO ALASKA AIR GROUP, ANY SECURITY HOLDER OF ALASKA AIR GROUP, OR THE STAFF OF THE SECURITIES AND EXCHANGE COMMISSION, UPON REQUEST, FULL INFORMATION REGARDING THE NUMBER OF SHARES SOLD AT EACH SEPARATE PRICE WITHIN THE RANGES SET FORTH IN THIS FOOTNOTE.
- F5THE PRICE REPORTED IN COLUMN 4 IS A WEIGHTED AVERAGE PRICE. THESE SHARES SOLD IN MULTIPLE TRANSACTIONS AT PRICES RANGING FROM $62.45 TO $62.58, INCLUSIVE. THE REPORTING PERSON UNDERTAKES TO PROVIDE TO ALASKA AIR GROUP, ANY SECURITY HOLDER OF ALASKA AIR GROUP, OR THE STAFF OF THE SECURITIES AND EXCHANGE COMMISSION, UPON REQUEST, FULL INFORMATION REGARDING THE NUMBER OF SHARES SOLD AT EACH SEPARATE PRICE WITHIN THE RANGES SET FORTH IN THIS FOOTNOTE.
- F6COMMON SHARES ACQUIRED UPON VESTING OF RESTRICTED STOCK UNITS ON 02/14/2015.
- F7FULLY VESTED STOCK UNITS GRANTED UNDER THE ISSUER'S 2018 PERFORMANCE INCENTIVE PLAN; PAYABLE IN SHARES OF THE ISSUER'S COMMON STOCK EFFECTIVE 02/14/2015.
- F8COMMON SHARES FORFEITED TO COVER PAYROLL TAXES UPON VESTING OF RESTRICTED STOCK UNITS ON 02/14/2015. AMOUNT PROVIDED IN COLUMN 4 REPRESENTS THE FMV OF THE SHARES ON THE DATE OF FORFEITURE.