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ALASKA AIR GROUP, INC. — Director's Dealing 2021
Apr 15, 2021
30935_dirs_2021-04-15_47c67476-dc1b-482b-aaa3-85ff337e1a43.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: ALASKA AIR GROUP, INC. (ALK)
CIK: 0000766421
Period of Report: 2021-04-06
Reporting Person: VON MUEHLEN CONSTANCE E (N/A)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| COMMON STOCK | 3339 | Direct |
| COMMON STOCK | 117 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| RESTRICTED STOCK UNITS | $0 | 2029-02-14 | COMMON STOCK (1490) | Direct | |
| RESTRICTED STOCK UNITS | $0 | 2030-02-11 | COMMON STOCK (1190) | Direct | |
| RESTRICTED STOCK UNITS | $0 | 2030-11-05 | COMMON STOCK (2960) | Direct | |
| RESTRICTED STOCK UNITS | $0 | 2029-01-21 | COMMON STOCK (20) | Direct | |
| RESTRICTED STOCK UNITS | $0 | 2031-04-03 | COMMON STOCK (4110) | Direct | |
| EMPLOYEE STOCK OPTION (RT TO BUY) | $66.89 | 2028-02-13 | COMMON STOCK (3930) | Direct | |
| EMPLOYEE STOCK OPTION (RT TO BUY) | $64.86 | 2029-01-21 | COMMON STOCK (90) | Direct | |
| EMPLOYEE STOCK OPTION (RT TO BUY) | $66.57 | 2029-02-14 | COMMON STOCK (5690) | Direct | |
| RESTRICTED STOCK UNITS | $0 | 2030-09-09 | COMMON STOCK (503) | Indirect | |
| EMPLOYEE STOCK OPTION (RT TO BUY) | $64.55 | 2030-02-11 | COMMON STOCK (5170) | Direct | |
| EMPLOYEE STOCK OPTIONS (RT TO BUY) | $39.18 | 2030-11-05 | COMMON STOCK (2540) | Direct | |
| EMPLOYEE STOCK OPTION (RT TO BUY) | $69.49 | 2031-04-03 | COMMON STOCK (10060) | Direct |
Footnotes
F1: RESTRICTED STOCK UNITS CLIFF VEST 3 YEARS FROM GRANT AND CONVERT INTO COMMON STOCK ON A ONE-FOR-ONE-BASIS.
F2: RESTRICTED STOCK UNITS (RSUs) WILL VEST ANNUALLY IN EQUAL INSTALLMENTS ON THE FIRST THREE ANNIVERSARIES OF THE GRANT DATE (986 RSUs ON 11/5/2021; 987 RSUs ON 11/5/2022 AND 987 RSUs ON 11/5/2023). RSUs CONVERT INTO COMMON STOCK ON A ONE-FOR-ONE-BASIS.
F3: OPTIONS VEST IN 25% INCREMENTS OVER FOUR YEARS. 2,947 OPTIONS ARE CURRENTLY EXERCISABLE; THE REMAINING 983 OPTIONS WILL VEST ON 2/13/2022.
F4: OPTIONS VEST IN 25% INCREMENTS OVER FOUR YEARS. 45 OPTIONS ARE CURRENTLY EXERCISABLE; THE REMAINING 45 OPTIONS WILL VEST AS FOLLOWS 22 OPTIONS ON 1/21/22 AND 23 OPTIONS ON 1/21/2023.
F5: OPTIONS VEST IN 25% INCREMENTS OVER FOUR YEARS. 2,845 OPTIONS ARE CURRENTLY EXERCISABLE; THE REMAINING 2,845 OPTIONS WILL VEST AS FOLLOWS: 1,422 OPTIONS ON 2/14/2022 AND 1,423 OPTIONS ON 2/14/2023.
F6: RESTRICTED STOCK UNITS (RSUs) WILL VEST AS FOLLOWS: 168 RSUs ON 9/9/2021; 167 RSUs ON 3/9/2022; AND 168 RSUs ON 9/9/2022. RSUs CONVERT INTO COMMON STOCK ON A ONE-FOR-ONE-BASIS.
F7: OPTIONS VEST IN 25% INCREMENTS OVER FOUR YEARS. 1,292 OPTIONS ARE CURRENTLY EXERCISABLE; THE REMAINING 3,878 OPTIONS WILL VEST AS FOLLOWS: 1,293 OPTIONS ON 2/11/2022; 1,292 ON 2/11/2023; AND 1,293 OPTIONS ON 2/11/2024.
F8: OPTIONS VEST IN 33% INCREMENTS OVER THREE YEARS. THE OPTIONS WILL VEST AS FOLLOWS: 846 OPTIONS ON 11/5/2021; 847 OPTIONS ON 11/5/2022; AND 847 OPTIONS ON 11/5/2023.
F9: OPTIONS VEST IN 25% INCREMENTS OVER FOUR YEARS. THE OPTIONS WILL VEST AS FOLLOWS: 2,515 OPTIONS ON 4/3/22; 2,515 OPTIONS ON 4/3/23; 2,515 OPTIONS ON 4/3/24; AND 2,515 OPTIONS ON 4/23/25.