SEC Form 4 · accession 0001246360-16-006882
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
Aug 31, 2016
Accepted (ET)
Oct 3, 2016 · 8:00 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 ESPP | Aug 31, 2016 | A | 135 | $57.4005 | A | 5,437 | D | |
| COMMON STOCK | Oct 3, 2016 | M | 1,320 | $8.315 | A | 1,320 | D | |
| COMMON STOCK | Oct 3, 2016 | M | 880 | $15.325 | A | 2,200 | D | |
| COMMON STOCK | Oct 3, 2016 | S | 2,200 | $65.60 | D | 0 | D | |
| COMMON STOCK 401(K)F1 | holding | — | — | — | 783 | I | ESOP TRUST | |
| RESTRICTED STOCK UNITF2 | 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) | $8.315 | Oct 3, 2016 | M | 1,320 | D | Feb 3, 2011 | Feb 3, 2020 | COMMON STOCK | 1,320 | 0 | D |
| EMPLOYEE STOCK OPTION (RT TO BUY) | $15.325 | Oct 3, 2016 | M | 880 | D | Feb 7, 2012 | Feb 7, 2021 | COMMON STOCK | 880 | 0 | 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.
- F3SHARES ACQUIRED UNDER ALASKA AIR GROUP'S 2010 EMPLOYEE STOCK PURCHASE PLAN THAT ARE EXEMPT UNDER BOTH RULE 16b-3(D) AND RULE 6b-3(c).
- F4SAME-DAY EXERCISE OF OPTIONS AND SALE EFFECTED PURSUANT TO A RULE 10b5-1 TRADING PLAN ADOPTED BY MR. ELIASEN ON 11/23/2015.