SEC Form 4 · accession 0001246360-18-001051
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
Feb 28, 2018
Accepted (ET)
Mar 8, 2018 · 8:07 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 STOCK | Feb 28, 2018 | A | 61 | $54.825 | A | 7,750 | D | |
| COMMON STOCK | Mar 7, 2018 | M | 556 | $0.00 | A | 8,306 | D | |
| COMMON STOCKF5 | Mar 7, 2018 | F | 136 | $64.00 | D | 8,170 | 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 UNITSF4 | $0.00 | Mar 7, 2018 | M | 556 | D | Mar 7, 2018 | Mar 7, 2027 | COMMON STOCK | 556 | 1,114 | 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 TO COMMON STOCK ON A ONE-FOR-ONE BASIS.
- F4REMAINING RESTRICTED STOCK UNITS SCHEDULED TO VEST AS FOLLOWS: 557 ON 3/7/2019 AND 557 ON 3/7/2020.
- F5PRICE PROVIDED IN COLUMN 4 REPRESENTS THE FMV OF ALK SHARES ON THE DATE SHARES WERE FORFEITED FOR TAXES.