Initial Statement of Beneficial Ownership (3)
April 15 2021 - 11:14AM
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
Estimated average burden
hours per response...
0.5
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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
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VON MUEHLEN CONSTANCE E |
2. Date of Event Requiring Statement (MM/DD/YYYY)
4/6/2021
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3. Issuer Name and Ticker or Trading Symbol
ALASKA AIR GROUP, INC. [ALK]
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(Last)
(First)
(Middle)
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)
EVP AND COO / |
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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 | 3339 | D | |
| COMMON STOCK | 117 | I | HELD BY SPOUSE |
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 |
| RESTRICTED STOCK UNITS | 2/14/2022 (1) | 2/14/2029 | COMMON STOCK | 1490 | $0 | D | |
| RESTRICTED STOCK UNITS | 2/11/2023 (1) | 2/11/2030 | COMMON STOCK | 1190 | $0 | D | |
| RESTRICTED STOCK UNITS | 11/5/2021 (2) | 11/5/2030 | COMMON STOCK | 2960 | $0 | D | |
| RESTRICTED STOCK UNITS | 1/21/2022 (1) | 1/21/2029 | COMMON STOCK | 20 | $0 | D | |
| RESTRICTED STOCK UNITS | 4/3/2024 (1) | 4/3/2031 | COMMON STOCK | 4110 | $0 | D | |
| EMPLOYEE STOCK OPTION (RT TO BUY) | 2/13/2019 (3) | 2/13/2028 | COMMON STOCK | 3930 | $66.89 | D | |
| EMPLOYEE STOCK OPTION (RT TO BUY) | 1/21/2020 (4) | 1/21/2029 | COMMON STOCK | 90 | $64.86 | D | |
| EMPLOYEE STOCK OPTION (RT TO BUY) | 2/14/2020 (5) | 2/14/2029 | COMMON STOCK | 5690 | $66.57 | D | |
| RESTRICTED STOCK UNITS | 9/9/2021 (6) | 9/9/2030 | COMMON STOCK | 503 | $0 | I | HELD BY SPOUSE |
| EMPLOYEE STOCK OPTION (RT TO BUY) | 2/11/2021 (7) | 2/11/2030 | COMMON STOCK | 5170 | $64.55 | D | |
| EMPLOYEE STOCK OPTIONS (RT TO BUY) | 11/5/2021 (8) | 11/5/2030 | COMMON STOCK | 2540 | $39.18 | D | |
| EMPLOYEE STOCK OPTION (RT TO BUY) | 4/3/2022 (9) | 4/3/2031 | COMMON STOCK | 10060 | $69.49 | D | |
| Explanation of Responses: |
| (1) | RESTRICTED STOCK UNITS CLIFF VEST 3 YEARS FROM GRANT AND CONVERT INTO COMMON STOCK ON A ONE-FOR-ONE-BASIS. |
| (2) | 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. |
| (3) | OPTIONS VEST IN 25% INCREMENTS OVER FOUR YEARS. 2,947 OPTIONS ARE CURRENTLY EXERCISABLE; THE REMAINING 983 OPTIONS WILL VEST ON 2/13/2022. |
| (4) | 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. |
| (5) | 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. |
| (6) | 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. |
| (7) | 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. |
| (8) | 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. |
| (9) | 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. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
VON MUEHLEN CONSTANCE E
19300 INTERNATIONAL BLVD
SEATTLE, WA 98188 |
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| EVP AND COO |
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Signatures
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| /S/JEANNE E GAMMON, ATTORNEY IN FACT FOR CONSTANCE E VON MUEHLEN | | 4/15/2021 |
| **Signature of Reporting Person | Date |
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