SEC Form 4 · accession 0001246360-16-007402
ALASKA AIR GROUP, INC. · ALK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bradley D Tilden
Officer — CHAIRMAN, PRESIDENT AND CEO
Period of report
Dec 7, 2016
Accepted (ET)
Dec 9, 2016 · 7:42 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 | Dec 7, 2016 | M | 10,520 | $0.00 | A | 141,977 | D | |
| COMMON STOCKF3 | Dec 7, 2016 | F | 2,279 | $87.67 | D | 139,698 | D | |
| COMMON STOCK | Dec 8, 2016 | G | 14,000 | $0.00 | D | 125,698 | D | |
| COMMON STOCK 401(K)F1 | holding | — | — | — | 15,473 | I | ESOP TRUST | |
| RESTRICTED STOCK UNITF2 | holding | — | — | — | 23,900 | D | ||
| COMMON STOCK | holding | — | — | — | 18,405 | I | GRAT |
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 | Dec 7, 2016 | M | 10,520 | D | Feb 14, 2013 | Feb 14, 2022 | COMMON STOCK | 10,520 | 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 THE ISSUER'S 2008 PERFORMANCE INCENTIVE PLAN; SUBJECT TO FORFEITURE.
- F3THE PRICE REPORTED IN COLUMN 4 IS THE CLOSING PRICE OF ALK STOCK ON THE TRANSACTION DATE.