SEC Form 4 · accession 0001246360-16-005585
ALASKA AIR GROUP, INC. · ALK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew R Harrison
Officer — EVP & CRO
Period of report
Apr 22, 2016
Accepted (ET)
Apr 26, 2016 · 7:35 pm EDT
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 | Apr 22, 2016 | M | 1,940 | $19.00 | A | 30,603 | D | |
| COMMON STOCK | Apr 22, 2016 | M | 1,394 | $24.40 | A | 31,997 | D | |
| COMMON STOCK | Apr 22, 2016 | M | 750 | $38.755 | A | 32,747 | D | |
| COMMON STOCKF2 | Apr 22, 2016 | S | 13,813 | $76.0419 | D | 18,934 | D | |
| RESTRICTED STOCK UNITF1 | holding | — | — | — | 9,220 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| EMPLOYEE STOCK OPTION (RT TO BUY) | $19.00 | Apr 22, 2016 | M | 1,940 | D | Feb 14, 2013 | Feb 14, 2022 | COMMON STOCK | 1,940 | 0 | D |
| EMPLOYEE STOCK OPTION (RT TO BUY) | $24.40 | Apr 22, 2016 | M | 1,394 | D | Feb 11, 2014 | Feb 11, 2023 | COMMON STOCK | 1,394 | 1,396 | D |
| EMPLOYEE STOCK OPTION (RT TO BUY) | $38.755 | Apr 22, 2016 | M | 750 | D | Feb 11, 2015 | Feb 11, 2024 | COMMON STOCK | 750 | 1,860 | D |
Explanation of responses
- F1STOCK UNITS AWARDED UNDER ALASKA AIR GROUP'S 2008 PERFORMANCE INCENTIVE PLAN; SUBJECT TO FORFEITURE.
- F2THE PRICE REPORTED IN COLUMN 4 IS A WEIGHTED AVERAGE PRICE. THESE SHARES SOLD IN MULTIPLE TRANSACTIONS AT PRICES RANGING FROM $76.0021 TO $76.1666, 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.