SEC Form 4 · accession 0001246360-17-000656
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
Feb 11, 2017
Accepted (ET)
Feb 14, 2017 · 9:21 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 | Feb 11, 2017 | A | 1,780 | $0.00 | A | 14,278 | D | |
| RESTRICTED STOCK UNIT | Feb 11, 2017 | J | 1,780 | $0.00 | D | 4,840 | D | |
| COMMON STOCKF5 | Feb 11, 2017 | F | 487 | $97.35 | D | 13,791 | D | |
| COMMON STOCK 401(K)F1 | holding | — | — | — | 7,049 | I | ESOP TRUST |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1COMMON SHARES HELD IN THE ALASKA AIR GROUP INC. EMPLOYEE STOCK OWNERSHIP 401(K) PLAN TRUST, AS OF 12/31/16.
- F2COMMON SHARES ACQUIRED UPON VESTING OF RESTRICTED STOCK UNITS AWARDED UNDER THE ISSUER'S 2008 PERFORMANCE INCENTIVE PLAN.
- F3FULLY VESTED RESTRICTED STOCK UNITS ISSUED IN ALASKA AIR GROUP COMMON STOCK.
- F4COMMON SHARES FORFEITED TO COVER PAYROLL TAXES UPON VESTING OF RESTRICTED STOCK UNITS.
- F5PRICE PROVIDED IN COLUMN 4 REPRESENTS THE FMV OF THE SHARES ON THE DATE OF FORFEITURE.