SEC Form 4 · accession 0001246360-18-001047
ALASKA AIR GROUP, INC. · ALK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Period of report
Feb 28, 2018
Accepted (ET)
Mar 8, 2018 · 7:49 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 | Feb 28, 2018 | A | 43 | $54.825 | A | 1,713 | D | |
| COMMON STOCKF1 | Mar 7, 2018 | M | 416 | $0.00 | A | 2,129 | D | |
| COMMON STOCKF1 | Mar 7, 2018 | F | 102 | $64.00 | D | 2,027 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| RESTRICTED STOCK UNITSF4 | $0.00 | Mar 7, 2018 | M | 416 | D | Mar 7, 2018 | Mar 7, 2027 | COMMON STOCK | 416 | 834 | D |
Explanation of responses
- F1TOTAL HELD IN COLUMN 5 INCLUDES 740 UNVESTED RESTRICTED STOCK UNITS GRANTED ON 2/9/2016 UNDER THE ISSUER'S 2008 PERFORMANCE INCENTIVE PLAN.
- 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.
- F4REMAINING RESTRICTED STOCK UNITS SCHEDULED TO VEST AS FOLLOWS: 417 ON 3/7/2019 AND 417 ON 3/7/2020.
- F5PRICE PROVIDED IN COLUMN 4 REPRESENTS THE FMV OF ALK SHARES ON THE DATE SHARES WERE FORFEITED FOR TAXES.