SEC Form 4 · accession 0001246360-16-006330
ALASKA AIR GROUP, INC. · ALK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark G Eliasen
Officer — VP/FINANCE & TREASURER
Period of report
Jul 15, 2016
Accepted (ET)
Jul 18, 2016 · 7:49 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 | Jul 15, 2016 | A | 2,884 | $6.555 | A | 7,444 | D | |
| COMMON STOCK | Jul 15, 2016 | S | 2,884 | $65.00 | D | 4,560 | D | |
| COMMON STOCK ESPPF1 | holding | — | — | — | 5,302 | D | ||
| COMMON STOCK 401(K)F2 | holding | — | — | — | 783 | I | ESOP TRUST | |
| RESTRICTED STOCK UNITF3 | holding | — | — | — | 3,040 | 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) | $6.555 | Jul 15, 2016 | M | 2,884 | D | Sep 14, 2010 | Sep 14, 2019 | COMMON STOCK | 2,884 | 0 | D |
Explanation of responses
- F1COMMON SHARES ACQUIRED UNDER THE ALASKA AIR GROUP, INC. 2010 EMPLOYEE STOCK PURCHASE PLAN AS OF 2/29/2016.
- F2COMMON SHARES HELD IN THE ALASKA AIR GROUP INC. EMPLOYEE STOCK OWNERSHIP 401(K) PLAN TRUST, AS OF 12/31/15.
- F3STOCK UNITS AWARDED UNDER ALASKA AIR GROUP'S 2008 PERFORMANCE INCENTIVE PLAN; SUBJECT TO FORFEITURE.
- F4SAME-DAY EXERCISE OF OPTIONS AND SALE EFFECTED PURSUANT TO A RULE 10b5-1 TRADING PLAN ADOPTED BY MR. ELIASEN ON 11/23/2015.