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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 | ||||||||
Deferred Stock Units (1) (2) | (3) | 11/08/2007 | A | 550,000 | (1)(2) | (4) | Common Stock | 550,000 | $ 0 | 550,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DUNKERLEY MARK B C/O HAWAIIAN HOLDINGS, INC. 3375 KOAPAKA STREET, SUITE G-350 HONOLULU, HI 96819 |
X | President and CEO |
/s/ Mark B. Dunkerley | 12/26/2007 | |
**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) | This Form 4/A is being filed to amend the original Form 4 filed by the Reporting Person on November 13, 2007. The original Form 4 reported that the deferred stock units (DSUs) reported therein vest in three equal annual installments commencing on November 8, 2007. The vesting dates for such DSUs are as follows: (1) 183,333 DSUs vest on January 1, 2009, (2) 183,333 DSUs vest on November 8, 2009 and (3) 183,334 DSUs vest on November 8, 2010. In addition, the original Form 4 reported that 366,666 shares of common stock underlying such DSUs are distributable on January 1, 2010 and 183,334 shares of common stock underlying such DSUs are distributable on January 1, 2011. These distribution dates remain unchanged. (cont'd footnote 2) |
(2) | However, to the extent the Issuer is in a black-out period on any such distribution date, the shares of common stock underlying such DSUs will be distributed on the first date on which the Reporting Person is able to freely sell securities of the Issuer following such black-out period, but in any event no later than the last day of the calendar year in which such distribution was originally scheduled to be made. There are no other changes to the original Form 4. |
(3) | 1-for-1 |
(4) | Not applicable. |