SEC Form 4 · accession 0001246360-18-000592
ALASKA AIR GROUP, INC. · ALK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shane R Tackett
Officer — SR VP REV/E-COMMERCE
Period of report
Aug 31, 2017
Accepted (ET)
Feb 12, 2018 · 6:14 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 | Aug 31, 2017 | A | 49 | $63.461 | A | 3,429 | D | |
| COMMON STOCK | Feb 10, 2018 | M | 2,090 | $0.00 | A | 5,519 | D | |
| COMMON STOCKF4 | Feb 10, 2018 | F | 509 | $64.72 | D | 5,010 | D | |
| COMMON STOCK 401(K)F1 | holding | — | — | — | 2,807 | I | ESOP TRUST |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| RESTRICTED STOCK UNITS | $0.00 | Feb 10, 2018 | M | 2,090 | D | Feb 10, 2018 | Feb 10, 2025 | COMMON STOCK | 2,090 | 0 | D |
Explanation of responses
- F1COMMON SHARES HELD IN THE ALASKA AIR GROUP INC. EMPLOYEE STOCK OWNERSHIP 401(K) PLAN TRUST AS OF 12/31/2017.
- F2THESE SHARES WERE ACQUIRED UNDER THE ALASKA AIR GROUP, INC. EMPLOYEE STOCK PURCHASE PLAN IN TRANSACTIONS THAT WERE EXEMPT UNDER BOTH RULE 16b-3(d) and RULE 16b-3(c).
- F3RESTRICTED STOCK UNITS CONVERT INTO COMMON STOCK ON A ONE-FOR-ONE-BASIS.
- F4PRICE PROVIDED IN COLUMN 4 REPRESENTS THE FMV OF ALK SHARES ON THE DATE RESTRICTED STOCK UNITS CONVERTED TO COMMON SHARES AND SHARES WERE WITHHELD FOR TAXES.