Alaska Air Group: Halverson acquires 970 shares

The 970-share vesting was one of three annual installments from a 2,910-unit award; 237 shares were withheld for tax obligations.

Available on EDGAR 11/04/2026 - 08:03 PM EST Accepted by SEC EDGAR 11/04/2026 - 08:03 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Alaska Air Group VP Finance, Controller & Treas Emily Halverson had 970 restricted stock units vest and acquired 970 common shares on November 2, 2026. The same day, 237 shares were withheld to satisfy tax obligations arising from vesting, at a reported price of $38.29 per share. The withholding was an exempt disposition to the issuer under Rule 16b-3(e). Her reported post-transaction RSU balance was 0.

Insider Trade Summary

970 shares exercised/converted

Exercise 3 txns

Insider HALVERSON EMILY

Role VP Finance, Controller & Treas

Type	Security	Shares	Price	Value
Exercise	RESTRICTED STOCK UNITS F1, F4	970	$0.00	$0.00
Exercise	COMMON STOCK F1	970	$0.00	$0.00
Tax Withholding	COMMON STOCK F2, F3	237	$38.29	$9K

Holdings After Transaction: RESTRICTED STOCK UNITS — 0 contracts (Direct); COMMON STOCK — 16,604 shares (Direct)

Holdings Before and After: RESTRICTED STOCK UNITS, 970 to 0 contracts (Direct); COMMON STOCK, 15,871 to 16,604 shares (Direct)

Footnotes (4)

1. F1. Each restricted stock unit (RSUs) represents a contingent right to receive one share of ALK common stock.
2. F2. The shares withheld were an exempt disposition to the Issuer under Rule 16b-3(e) to satisfy tax withholding obligations arising out of the vesting of RSUs and settled with shares by the reporting person.
3. F3. Includes 194 shares acquired on April 30, 2026, and 236 shares acquired on October 31, 2026, under the Alaska Air Group, Inc. Employee Stock Purchase Plan (ESPP) in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c).
4. F4. The RSUs vesting were from a November 2, 2023, grant of 2,910 RSUs that vested in three annual installments of 970 shares beginning on the first anniversary of the grant date.

Key Figures

Restricted stock units vested: 970 RSUs Common shares acquired: 970 shares Shares withheld for tax obligations: 237 shares +3 more

6 metrics

Restricted stock units vested 970 RSUs November 2, 2026

Common shares acquired 970 shares November 2, 2026

Shares withheld for tax obligations 237 shares November 2, 2026

Reported price per share $38.29 per share Share withholding on November 2, 2026

RSUs in grant 2,910 RSUs Granted November 2, 2023

Reported RSU balance after transaction 0 RSUs November 2, 2026

Key Terms

restricted stock unit, Rule 16b-3(e), Employee Stock Purchase Plan (ESPP), Rule 16b-3(d)

4 terms

restricted stock unit technical

"Each restricted stock unit (RSUs) represents a contingent right"

A restricted stock unit is a promise from a company to give an employee shares of stock after certain conditions are met, like staying with the company for a set amount of time. It’s like earning a bonus that turns into company stock once you’ve proven your commitment, making it a way to motivate and reward employees.

Rule 16b-3(e) regulatory

"exempt disposition to the Issuer under Rule 16b-3(e)"

Employee Stock Purchase Plan (ESPP) financial

"Employee Stock Purchase Plan (ESPP)"

Rule 16b-3(d) regulatory

"exempt under both Rule 16b-3(d) and Rule 16b-3(c)"

Rule 16b-3(d) is a narrow SEC safe-harbor that shields company insiders (officers, directors and large shareholders) from liability for short‑swing profits when their buys or sells of company stock are made under a pre-established, written plan or contract that removes the insider’s ability to time trades. For investors, this matters because it permits predictable, automated insider transactions — like scheduled sales for diversification or payroll withholding — without triggering forced disgorgement, so such planned trades are treated differently from opportunistic insider trading.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How many ALK shares did Emily Halverson acquire and have withheld?

Emily Halverson acquired 970 common shares when 970 restricted stock units vested on November 2, 2026, and 237 shares were withheld at a reported $38.29 per share to satisfy tax obligations.

What was the vesting schedule for Emily Halverson's ALK restricted stock units?

The 2,910 RSUs were granted on November 2, 2023, and vested in three annual installments of 970 shares, beginning on the grant's first anniversary.

AI-generated analysis. How Rhea-AI works. Not financial advice.

Form 4 Insider Transactions: What Each Field Means →

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SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

HALVERSON EMILY

(Last) (First) (Middle)

ALASKA AIR GROUP, INC.

19300 INTERNATIONAL BLVD

(Street)

SEATTLE WASHINGTON 98188

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
ALASKA AIR GROUP, INC. [ ALK ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	VP Finance, Controller & Treas

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
11/02/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
COMMON STOCK	11/02/2026		M		970	A	$0(1)	16,841	D
COMMON STOCK	11/02/2026		F		237(2)	D	$38.29	16,604(3)	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
RESTRICTED STOCK UNITS	$0(1)	11/02/2026		M			970	(4)	(4)	COMMON STOCK	970	$0	0	D

Explanation of Responses:

1. Each restricted stock unit (RSUs) represents a contingent right to receive one share of ALK common stock.

2. The shares withheld were an exempt disposition to the Issuer under Rule 16b-3(e) to satisfy tax withholding obligations arising out of the vesting of RSUs and settled with shares by the reporting person.

3. Includes 194 shares acquired on April 30, 2026, and 236 shares acquired on October 31, 2026, under the Alaska Air Group, Inc. Employee Stock Purchase Plan (ESPP) in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c).

4. The RSUs vesting were from a November 2, 2023, grant of 2,910 RSUs that vested in three annual installments of 970 shares beginning on the first anniversary of the grant date.

Remarks:

	/s/ Howard Kuppler, by power of attorney	11/04/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)