Initial Statement of Beneficial Ownership (3)
February 04 2021 - 6:19PM
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
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Kasher Alan |
2. Date of Event Requiring Statement (MM/DD/YYYY)
2/3/2021
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3. Issuer Name and Ticker or Trading Symbol
SOUTHWEST AIRLINES CO [LUV]
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(Last)
(First)
(Middle)
SOUTHWEST AIRLINES CO., 2702 LOVE FIELD DRIVE |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) EVP Daily Operations / |
(Street)
DALLAS, TX 75235
(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 | 9504 (1) | D | |
Common Stock | 1616 (2) | I | By ProfitSharing Plan |
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 |
Explanation of Responses: |
(1) | Holdings include 5,584 restricted stock units previously granted pursuant to the Southwest Airlines Co. Amended and Restated 2007 Equity Incentive Plan, which will entitle the reporting person to one share of common stock for each restricted stock unit that vests. The restricted stock units will vest as follows: 2,413 on February 21, 2021; 1,912 on February 21, 2022; and 1,259 on February 21, 2023. |
(2) | Holdings reflect exempt transactions under the Issuer's ProfitSharing Plan. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Kasher Alan SOUTHWEST AIRLINES CO. 2702 LOVE FIELD DRIVE DALLAS, TX 75235 |
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| EVP Daily Operations |
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Signatures
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/s/ Tim Whisler, on behalf of and as attorney-in-fact for Alan Kasher | | 2/4/2021 |
**Signature of Reporting Person | Date |
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