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ALASKA AIR GROUP, INC. — Director's Dealing 2021
Nov 8, 2021
30935_dirs_2021-11-08_f52921d1-5a99-4d93-b464-1192d96975f6.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ALASKA AIR GROUP, INC. (ALK)
CIK: 0000766421
Period of Report: 2021-11-05
Reporting Person: SPRAGUE JOSEPH A (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-11-05 | COMMON STOCK | M | 986 | — | Acquired | 15094 | Direct |
| 2021-11-05 | COMMON STOCK | F | 241 | $59.35 | Disposed | 14853 | Direct |
| 2021-11-07 | COMMON STOCK | M | 1130 | — | Acquired | 15983 | Direct |
| 2021-11-07 | COMMON STOCK | F | 276 | $59.35 | Disposed | 15707 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-11-05 | RESTRICTED STOCK UNITS | $0 | M | 986 | Disposed | 2030-11-05 | COMMON STOCK (986) | Direct |
| 2021-11-07 | RESTRICTED STOCK UNITS | $0 | M | 1130 | Disposed | 2029-11-07 | COMMON STOCK (1130) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| COMMON STOCK 401(K) | 7049 | Indirect |
Footnotes
F1: COMMON SHARES HELD IN THE ALASKA AIR GROUP INC. EMPLOYEE STOCK OWNERSHIP 401(K) PLAN TRUST, AS OF 12/31/2020.
F2: SHARES FORFEITED TO COVER PAYROLL TAXES UPON VESTING OF RESTRICTED STOCK UNITS ON 11/05/2021.
F3: PRICE PROVIDED IN COLUMN 4 REPRESENTS THE FMV OF ALK SHARES ON THE DATE SHARES WERE FORFEITED FOR TAXES.
F4: RESTRICTED STOCK UNITS VEST ANNUALLY IN EQUAL INSTALLMENTS ON THE FIRST THREE ANNIVERSARIES OF THE GRANT DATE AND CONVERT INTO COMMON STOCK ON A ONE-FOR-ONE-BASIS.
F5: SHARES FORFEITED TO COVER PAYROLL TAXES UPON VESTING OF RESTRICTED STOCK UNITS ON 11/07/2021.
F6: RESTRICTED STOCK UNITS REMAINING FOLLOWING THIS TRANSACTION WILL VEST ON 11/07/2022.