SEC Form 4 · accession 0001246360-16-006036
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
May 26, 2016
Accepted (ET)
May 31, 2016 · 7:00 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 | May 26, 2016 | M | 7,800 | $0.00 | A | 32,434 | D | |
| COMMON STOCK | May 26, 2016 | M | 4,140 | $0.00 | A | 36,574 | D | |
| COMMON STOCK | May 26, 2016 | F | 2,214 | $66.91 | D | 34,360 | D | |
| COMMON STOCK | May 26, 2016 | F | 1,509 | $66.91 | D | 32,851 | D | |
| COMMON STOCK 401(K)F1 | holding | — | — | — | 7,049 | I | ESOP TRUST | |
| RESTRICTED STOCK UNITF2 | holding | — | — | — | 6,620 | 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 | May 26, 2016 | M | 7,800 | D | Feb 14, 2013 | Feb 14, 2022 | COMMON STOCK | 7,800 | 0 | D |
| EMPLOYEE STOCK OPTION (RT TO BUY) | $24.40 | May 26, 2016 | M | 4,140 | D | Feb 11, 2014 | Feb 11, 2023 | COMMON STOCK | 4,140 | 1,380 | D |
Explanation of responses
- F1COMMON SHARES HELD IN THE ALASKA AIR GROUP INC. EMPLOYEE STOCK OWNERSHIP 401(K) PLAN TRUST, AS OF 12/31/15.
- F2STOCK UNITS AWARDED UNDER ALASKA AIR GROUP'S 2008 PERFORMANCE INCENTIVE PLAN; SUBJECT TO FORFEITURE.