Initial Statement of Beneficial Ownership (3)
November 12 2019 - 11:46AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
SPRAGUE JOSEPH A |
2. Date of Event Requiring Statement (MM/DD/YYYY)
11/6/2019
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3. Issuer Name and Ticker or Trading Symbol
ALASKA AIR GROUP, INC. [ALK]
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(Last)
(First)
(Middle)
C/O ALASKA AIRLINES, INC., 19300 INTERNATIONAL BLVD |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
PRESIDENT-HORIZON AIR / |
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(Street)
SEATTLE, WA 98188
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| COMMON STOCK 401(K) (1) | 7049 | I | ESOP TRUST |
| COMMON STOCK | 12857 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| EMPLOYEE STOCK OPTION (RT TO BUY) | 2/11/2017 (2) | 2/11/2023 | COMMON STOCK | 1380 | $24.4 | D | |
| EMPLOYEE STOCK OPTION (RT TO BUY) | 2/11/2018 (2) | 2/11/2024 | COMMON STOCK | 3190 | $38.755 | D | |
| EMPLOYEE STOCK OPTION (RT TO BUY) | 5/12/2018 (2) | 5/12/2024 | COMMON STOCK | 1410 | $48.945 | D | |
| EMPLOYEE STOCK OPTION (RT TO BUY) | 2/10/2019 (2) | 2/10/2025 | COMMON STOCK | 2648 | $65.37 | D | |
| EMPLOYEE STOCK OPTION (RT TO BUY) | 2/9/2020 (3) | 2/9/2026 | COMMON STOCK | 4190 | $65.63 | D | |
| EMPLOYEE STOCK OPTION (RT TO BUY) | 2/14/2020 (4) | 2/14/2027 | COMMON STOCK | 2542 | $96.3 | D | |
| Explanation of Responses: |
| (1) | COMMON SHARES HELD IN THE ALASKA AIR GROUP, INC. EMPLOYEE STOCK OWNERSHIP 401(K) PLAN TRUST AS OF 11/06/2019. |
| (2) | OPTIONS VESTED IN 25% INCREMENTS ANNUALLY FROM DATE OF GRANT; OPTIONS ARE NOW FULLY EXERCISABLE. |
| (3) | OPTIONS VESTED IN 25% INCREMENTS ANNUALLY FROM DATE OF GRANT; 1048 OF THESE OUTSTANDING OPTIONS WILL VEST ON 02/09/2020 AND 3142 OF THE OPTIONS ARE FULLY VESTED. |
| (4) | OPTIONS VESTED IN 25% INCREMENTS ANNUALLY FROM DATE OF GRANT; 847 OF THE OUTSTANDING OPTIONS WILL VEST ON 02/14/2020 AND 1695 OF THE OPTIONS ARE FULLY VESTED. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
SPRAGUE JOSEPH A
C/O ALASKA AIRLINES, INC.
19300 INTERNATIONAL BLVD
SEATTLE, WA 98188 |
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| PRESIDENT-HORIZON AIR |
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Signatures
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| JEANNE E. GAMMON (ATTORNEY IN FACT FOR JOSEPH A. SPRAGUE) | | 11/12/2019 |
| **Signature of Reporting Person | Date |
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