Griffin J Timothy SEC Form 4 Filed October 31, 2008: Statement of changes in beneficial ownership of... Last Updated December 19, 2020 at 9:20 AM ST

Back to Griffin J Timothy
Tags No tags have been applied so far. Sign in to add some.

FORM 4 -

SEC FORM 4 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
X
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
GRIFFIN J TIMOTHY

(Last) (First) (Middle)
C/O NORTHWEST AIRLINES CORPORATION
2700 LONE OAK PARKWAY

(Street)
EAGAN MN 55121

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
NORTHWEST AIRLINES CORP [ NWA ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
EVP - Marketing & Distribution
3. Date of Earliest Transaction (Month/Day/Year)
10/29/2008
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
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 10/29/2008 D(1) 201,552 D (1) 0 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
Employee Stock Option (right to buy) $22.68 10/29/2008 D 66,859 (2) 06/13/2017 Common Stock 66,859 (2) 0 D
Employee Stock Option (right to buy) $22.26 10/29/2008 D 66,859 (2) 06/27/2017 Common Stock 66,859 (2) 0 D
Employee Stock Option (right to buy) $21.07 10/29/2008 D 66,859 (2) 07/12/2017 Common Stock 66,859 (2) 0 D
Explanation of Responses:
1. The shares were disposed of pursuant to the merger agreement dated as of April 14, 2008 between the Company and Delta Air Lines, Inc. ("Delta") (the "Merger Agreement") in exchange for shares of Delta common stock.
2. The option, which provided for vesting in nine equal installments commencing on the grant date and continuing thereafter on each six-month anniversary of May 31, 2007 (the date the Company emerged from bankruptcy), was canceled in the merger and replaced with an option to purchase shares of Delta common stock pursuant to the Merger Agreement.
Cathy R. Sams, by power of attorney 10/31/2008
** 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.
Space
Issues Laws Cases Pro Articles Firms Entities
Issues Laws Cases Pro Articles Firms Entities
 
PlainSite
Sign Up
Need Password Help?