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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Common Stock Option (right to buy) | $ 4.25 | 03/26/2014 | M | 15,548 | (4) | 08/10/2015 | Common Stock | 15,548 | $ 0 | 4,452 | D | ||||
Common Stock Option (right to buy) | $ 4.25 | 03/27/2014 | M | 4,452 | (4) | 08/10/2015 | Common Stock | 4,452 | $ 0 | 0 | D | ||||
Common Stock Option (right to buy) | $ 3.85 | 03/27/2014 | M | 15,000 | (4) | 05/31/2016 | Common Stock | 15,000 | $ 0 | 0 | D | ||||
Common Stock Option (right to buy) | $ 3.85 | 03/27/2014 | M | 15,000 | (4) | 05/30/2017 | Common Stock | 15,000 | $ 0 | 0 | D | ||||
Common Stock Option (right to buy) | $ 3.78 | 03/27/2014 | M | 100,000 | (4) | 12/19/2015 | Common Stock | 100,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hershfield Lawrence C/O HAWAIIAN HOLDINGS, INC. 3375 KOAPAKA STREET, SUITE G-350 HONOLULU 96819 |
X |
/s/ Hoyt Zia, by power of attorney | 03/28/2014 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Amount of securities directly owned includes 870,128 shares transferred from RC Aviation Management, LLC, for which the Reporting Person serves as Chief Executive Officer and President, to the Reporting Person on March 13, 2014. Due to an inadvertent clerical error, the number of shares previously held by RC Aviation Management, LLC and reported as indirectly owned by the Reporting Person were previously underreported by 85,000 shares. |
(2) | The sale price reported in column 4 of Table 1 represents the weighted average sale price of the shares sold ranging from $13.90 to $14.165 per share. Upon request by the Commission staff, the Issuer or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price. |
(3) | The sale price reported in column 4 of Table 1 represents the weighted average sale price of the shares sold ranging from $13.50 to $13.72 per share. Upon request by the Commission staff, the Issuer or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price. |
(4) | The shares subject to the option were fully vested and exercisable. |