SEC Form 4 · accession 0001246360-18-002196
ALASKA AIR GROUP, INC. · ALK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rakow Diana Birkett
Officer — VP EXT RELATIONS
Period of report
Sep 11, 2018
Accepted (ET)
Sep 12, 2018 · 8:14 pm EDT
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 | Sep 11, 2018 | M | 416 | $0.00 | A | 416 | D | |
| COMMON STOCKF4 | Sep 11, 2018 | F | 102 | $68.97 | D | 314 | 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 UNITSF2 | $0.00 | Sep 11, 2018 | M | 416 | D | Sep 11, 2018 | Sep 11, 2027 | COMMON STOCK | 416 | 834 | D |
Explanation of responses
- F1RESTRICTED STOCK UNITS CONVERT INTO COMMON STOCK ON A ONE-FOR-ONE-BASIS.
- F2REMAINING RESTRICTED STOCK UNITS WILL VEST AS FOLLOWS: 417 ON 9/11/2019 AND 417 ON 9/11/2020.
- F3SHARES FORFEITED TO COVER PAYROLL TAXES UPON VESTING OF STOCK UNITS ON 9/11/2018.
- F4PRICE PROVIDED IN COLUMN 4 REPRESENTS THE FMV OF ALK SHARES ON THE DATE SHARES WERE FORFEITED FOR TAXES.