SEC Form 4 · accession 0001246360-17-001192
ALASKA AIR GROUP, INC. · ALK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brandon Pedersen
Officer — EXEC VP/FINANCE & CFO
Period of report
Mar 1, 2017
Accepted (ET)
Mar 3, 2017 · 6:07 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 STOCKF1 | Mar 1, 2017 | M | 4,215 | $65.37 | A | 36,734 | D | |
| COMMON STOCKF1 | Mar 1, 2017 | M | 1,827 | $65.63 | A | 38,561 | D | |
| COMMON STOCKF1 | Mar 1, 2017 | M | 3,346 | $0.00 | A | 41,907 | D | |
| COMMON STOCKF1 | Mar 1, 2017 | S | 8,339 | $98.04 | D | 33,568 | D | |
| COMMON STOCKF1,F2 | Mar 1, 2017 | F | 814 | $100.24 | D | 32,754 | D | |
| COMMON STOCKF1 | Mar 1, 2017 | S | 6,042 | $100.00 | D | 26,712 | D | |
| COMMON STOCKF1 | Mar 2, 2017 | S | 2,400 | $99.60 | D | 24,312 | 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) | $65.37 | Mar 1, 2017 | M | 4,215 | D | Feb 10, 2016 | Feb 10, 2025 | COMMON STOCK | 4,215 | 4,215 | D |
| EMPLOYEE STOCK OPTION (RT TO BUY) | $65.63 | Mar 1, 2017 | M | 1,827 | D | Feb 9, 2017 | Feb 9, 2026 | COMMON STOCK | 1,827 | 5,483 | D |
| EMPLOYEE STOCK OPTION (RT TO BUY) | $24.40 | Mar 1, 2017 | M | 3,346 | D | Feb 11, 2014 | Feb 11, 2023 | COMMON STOCK | 3,346 | 0 | D |
Explanation of responses
- F1INCLUDES 1,440, 3,690 and 3,050 UNVESTED RESTRICTED STOCK UNITS GRANTED ON 5/12/2014, 2/10/2015 and 2/9/2016, RESPECTIVELY, UNDER THE ISSUER'S 2008 PERFORMANCE INCENTIVE PLAN.
- F2PRICE PROVIDED IN COLUMN 4 REPRESENTS THE FMV OF THE SHARES ON THE DATE OF THE STOCK SWAP TRANSACTION.