SEC Form 4 · accession 0001246360-16-004532
ALASKA AIR GROUP, INC. · ALK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph A Sprague
Officer — SR VP/COMM & EXT RELATIONS
Period of report
Feb 11, 2016
Accepted (ET)
Feb 16, 2016 · 7:49 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 STOCK | Feb 11, 2016 | A | 2,680 | $0.00 | A | 21,244 | D | |
| RESTRICTED STOCK UNIT | Feb 11, 2016 | J | 2,680 | $0.00 | D | 6,620 | D | |
| COMMON STOCK | Feb 11, 2016 | F | 733 | $66.94 | D | 20,511 | D | |
| COMMON STOCK | Feb 16, 2016 | S | 2,920 | $68.90 | D | 17,591 | D | |
| COMMON STOCK 401(K)F1 | holding | — | — | — | 7,049 | 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 12/31/15.
- F2COMMON SHARES ACQUIRED UPON VESTING OF RESTRICTED STOCK UNITS ON 02/11/2016.
- F3RESTRICTED STOCK UNITS VESTING ON 02/11/2016.
- F4COMMON SHARES FORFEITED TO COVER PAYROLL TAXES UPON VESTING OF PERFORMANCE STOCK UNITS ON 02/11/2016. AMOUNT PROVIDED IN COLUMN 4 REPRESENTS THE FMV OF THE SHARES ON THE DATE OF FORFEITURE.
- F5SALE EFFECTED PURSUANT TO A RULE 10b5-1 TRADING PLAN ADOPTED BY MR. SPRAGUE ON 11/24/2015.