CARTY DONALD J

SEC source: 0001077830-26-000002 · wk-form4_1782256230.xml · nonDerivative · entry 1

CARTY DONALD J · CIK 0001077830 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,478

F1 · shares: Represents 21,816 Restricted Stock Units acquired pursuant to the Issuer's Non-Employee Director Compensation policy. Each Restricted Stock Unit represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. The shares underlying the Restricted Stock Unit award shall fully vest on the earlier of the first anniversary of the grant date or immediately prior to the next Annual Meeting of stockholders, subject to Directors' continuous service to the Issuer on such date.

F2 · balance_after: A portion of these shares represent Restricted Stock Units.

SEC source: 0001568100-25-000039 · wk-form4_1747435520.xml · nonDerivative · entry 1

CARTY DONALD J · CIK 0001077830 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,662

F1 · shares: Represents 28,662 restricted stock units acquired pursuant to the Issuer's Non-Employee Director compensation policy. Each restricted stock unit represents a contingent right to receive one share of Common Stock of the Issuer and has no expiration date. The shares underlying the restricted stock unit award shall vest in three equal annual installments on the anniversary of the grant date, subject to continuous service to the Issuer on such date.

SEC source: 0001209191-21-070301 · doc4.xml · nonDerivative · entry 1

CARTY DONALD J · CIK 0001077830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,701

F1 · shares: The shares were sold by the Reporting Person in connection with year-end tax planning.

F2 · price: The sale price reported in column 4 of Table I represents the weighted average sale price of the shares ranging from $17.63 to $18.01 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.

SEC source: 0001209191-21-048241 · doc4.xml · nonDerivative · entry 1

CARTY DONALD J · CIK 0001077830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,055

SEC source: 0001209191-21-035087 · doc4.xml · nonDerivative · entry 1

CARTY DONALD J · CIK 0001077830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,701

F1 · shares: Each restricted stock unit ("RSU") represents a contingent right to receive one share of HA common stock. The RSUs shall vest 100% upon the earlier of (i) the day prior to the Issuer's regularly scheduled annual stockholder's meeting for 2022, or (ii) a Change in Control.

SEC source: 0001209191-20-043001 · doc4.xml · nonDerivative · entry 1

CARTY DONALD J · CIK 0001077830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,435

SEC source: 0001209191-20-029862 · doc4.xml · nonDerivative · entry 1

CARTY DONALD J · CIK 0001077830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,269

F1 · shares: Each restricted stock unit ("RSU") represents a contingent right to receive one share of HA common stock. The RSUs shall vest 100% upon the earlier of (i) the day prior to the Issuer's regularly scheduled annual stockholder's meeting for 2021, or (ii) a Change in Control.

SEC source: 0001209191-19-039371 · doc4.xml · nonDerivative · entry 1

CARTY DONALD J · CIK 0001077830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,595

F1 · balance_after: Reflects equitable adjustment to the number of unvested RSUs as of December 28, 2018 in connection with VMware's special cash dividend. Pursuant to the adjustment, the number of unvested RSUs was multiplied by a conversion factor of 1.2038.

SEC source: 0001209191-19-031150 · doc4.xml · nonDerivative · entry 1

CARTY DONALD J · CIK 0001077830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,803

F1 · shares: Each restricted stock unit ("RSU") represents a contingent right to receive one share of HA common stock. The RSUs shall vest 100% upon the earlier of (i) the day prior to the Issuer's regularly scheduled annual stockholder's meeting for 2020, or (ii) a Change in Control.

SEC source: 0001209191-19-000495 · doc4.xml · derivative · entry 1

CARTY DONALD J · CIK 0001077830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: see footnote 2 · Not disclosed shares

Expires not disclosed

F1 · derivative.exercise_price: Disposed of in connection with share exchange transaction conducted by Dell Technologies ("DT") pursuant to which each outstanding share of DT Class V common stock was exchanged for either (i) 1.8066 shares of DT Class C common stock, or (ii) $120.00 in cash, subject to a cap of $14 billion on the aggregate amount of cash consideration. Pursuant to the DT share exchange transaction, DT Class V common stock was eliminated.

F2 · derivative.exercise_price: DT Class V common stock was intended to track and reflect the economic performance of the Class V Group of DT, which had attributed to it the economic value of a portion of DT's controlling interest in VMware. Accordingly, the Class V stock may have been considered a derivative security relating to VMware Class A common stock or an equity security relating to VMware. The filing of this Form 4 shall not be deemed an admission that the Class V stock was a derivative security relating to VMware Class A common stock or an equity security relating to VMware for purposes of Section 16 of the Securities Exchange Act of 1934.

F1 · price: Disposed of in connection with share exchange transaction conducted by Dell Technologies ("DT") pursuant to which each outstanding share of DT Class V common stock was exchanged for either (i) 1.8066 shares of DT Class C common stock, or (ii) $120.00 in cash, subject to a cap of $14 billion on the aggregate amount of cash consideration. Pursuant to the DT share exchange transaction, DT Class V common stock was eliminated.

F2 · price: DT Class V common stock was intended to track and reflect the economic performance of the Class V Group of DT, which had attributed to it the economic value of a portion of DT's controlling interest in VMware. Accordingly, the Class V stock may have been considered a derivative security relating to VMware Class A common stock or an equity security relating to VMware. The filing of this Form 4 shall not be deemed an admission that the Class V stock was a derivative security relating to VMware Class A common stock or an equity security relating to VMware for purposes of Section 16 of the Securities Exchange Act of 1934.

F1 · derivative.exercise_date: Disposed of in connection with share exchange transaction conducted by Dell Technologies ("DT") pursuant to which each outstanding share of DT Class V common stock was exchanged for either (i) 1.8066 shares of DT Class C common stock, or (ii) $120.00 in cash, subject to a cap of $14 billion on the aggregate amount of cash consideration. Pursuant to the DT share exchange transaction, DT Class V common stock was eliminated.

F2 · derivative.exercise_date: DT Class V common stock was intended to track and reflect the economic performance of the Class V Group of DT, which had attributed to it the economic value of a portion of DT's controlling interest in VMware. Accordingly, the Class V stock may have been considered a derivative security relating to VMware Class A common stock or an equity security relating to VMware. The filing of this Form 4 shall not be deemed an admission that the Class V stock was a derivative security relating to VMware Class A common stock or an equity security relating to VMware for purposes of Section 16 of the Securities Exchange Act of 1934.

F1 · derivative.expiration_date: Disposed of in connection with share exchange transaction conducted by Dell Technologies ("DT") pursuant to which each outstanding share of DT Class V common stock was exchanged for either (i) 1.8066 shares of DT Class C common stock, or (ii) $120.00 in cash, subject to a cap of $14 billion on the aggregate amount of cash consideration. Pursuant to the DT share exchange transaction, DT Class V common stock was eliminated.

F2 · derivative.expiration_date: DT Class V common stock was intended to track and reflect the economic performance of the Class V Group of DT, which had attributed to it the economic value of a portion of DT's controlling interest in VMware. Accordingly, the Class V stock may have been considered a derivative security relating to VMware Class A common stock or an equity security relating to VMware. The filing of this Form 4 shall not be deemed an admission that the Class V stock was a derivative security relating to VMware Class A common stock or an equity security relating to VMware for purposes of Section 16 of the Securities Exchange Act of 1934.

F1 · derivative.underlying_shares: Disposed of in connection with share exchange transaction conducted by Dell Technologies ("DT") pursuant to which each outstanding share of DT Class V common stock was exchanged for either (i) 1.8066 shares of DT Class C common stock, or (ii) $120.00 in cash, subject to a cap of $14 billion on the aggregate amount of cash consideration. Pursuant to the DT share exchange transaction, DT Class V common stock was eliminated.

F2 · derivative.underlying_shares: DT Class V common stock was intended to track and reflect the economic performance of the Class V Group of DT, which had attributed to it the economic value of a portion of DT's controlling interest in VMware. Accordingly, the Class V stock may have been considered a derivative security relating to VMware Class A common stock or an equity security relating to VMware. The filing of this Form 4 shall not be deemed an admission that the Class V stock was a derivative security relating to VMware Class A common stock or an equity security relating to VMware for purposes of Section 16 of the Securities Exchange Act of 1934.

SEC source: 0001209191-18-043652 · doc4.xml · nonDerivative · entry 1

CARTY DONALD J · CIK 0001077830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,326

SEC source: 0001209191-18-059788 · doc4.xml · nonDerivative · entry 1

CARTY DONALD J · CIK 0001077830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,976

F1 · kind: This transaction involved a gift of securities by the reporting person to his spouse. The reporting person disclaims beneficial ownership of such shares.

SEC source: 0001209191-18-033511 · doc4.xml · nonDerivative · entry 1

CARTY DONALD J · CIK 0001077830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,240

F1 · shares: Each restricted stock unit ("RSU") represents a contingent right to receive one share of HA common stock. The RSUs shall vest 100% upon the earlier of (i) the day prior to the Issuer's regularly scheduled annual stockholder's meeting for 2019, or (ii) a Change in Control.

SEC source: 0001209191-18-020882 · doc4.xml · nonDerivative · entry 1

CARTY DONALD J · CIK 0001077830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,675

F1 · price: The purchase price reported in column 4 of Table I represents the weighted average purchase price of the shares acquired ranging from $37.75 to $37.90 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 acquired at each separate price.

SEC source: 0001209191-17-041638 · doc4.xml · nonDerivative · entry 1

CARTY DONALD J · CIK 0001077830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,675

F1 · price: The purchase price reported in column 4 of Table I represents the weighted average purchase price of the shares purchased ranging from $47.00 to $47.20 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 purchased at each separate price.

SEC source: 0001209191-17-039282 · doc4.xml · nonDerivative · entry 1

CARTY DONALD J · CIK 0001077830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,502

SEC source: 0001209191-17-032218 · doc4.xml · nonDerivative · entry 2

CARTY DONALD J · CIK 0001077830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,675

F2 · price: The purchase price reported in column 4 of Table I represents the weighted average purchase price of the shares purchased ranging from $53.20 to $53.45 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 purchased at each separate price.

SEC source: 0001209191-17-032218 · doc4.xml · nonDerivative · entry 1

CARTY DONALD J · CIK 0001077830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,675

F1 · shares: Each restricted stock unit ("RSU") represents a contingent right to receive one share of HA common stock. The RSUs shall vest 100% upon the earlier of (i) one year following the date of grant, (ii) the day prior to the Issuer's regularly scheduled annual stockholder's meeting for 2018, or (iii) a Change in Control.

SEC source: 0001209191-16-156928 · doc4.xml · nonDerivative · entry 1

CARTY DONALD J · CIK 0001077830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,712

F1 · shares: Each restricted stock unit ("RSU") represents a contingent right to receive one share of HA common stock. The RSUs shall vest 100% upon the earlier of (i) the day prior to the Issuer's 2017 annual stockholder's meeting or (ii) a change in control of the Issuer.

SEC source: 0001614436-16-000125 · wf-form4_148176736787273.xml · nonDerivative · entry 3

CARTY DONALD J · CIK 0001077830 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

F5 · price: Pursuant to the terms of the Merger Agreement, each issued and outstanding share of common stock was automatically cancelled and converted into the right to receive $57.00 in cash, without interest.

F6 · ownership.nature: Shares were held by the Reporting Person's wife.

SEC source: 0001614436-16-000125 · wf-form4_148176736787273.xml · nonDerivative · entry 2

CARTY DONALD J · CIK 0001077830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F3 · shares: Includes 6,624 RSUs.

F4 · price: Pursuant to the terms of the Agreement and Plan of Merger, dated April 1, 2016, by and among Virgin America Inc., Alaska Air Group, Inc. and Alpine Acquisition Corp. (the "Merger Agreement"), (i) each issued and outstanding RSU was automatically vested and converted in the right to receive $57.00 in cash, without interest and (ii) each issued and outstanding share of common stock was automatically cancelled and converted into the right to receive $57.00 in cash, without interest.

SEC source: 0000790070-16-000290 · edgar.xml · nonDerivative · entry 1

CARTY DONALD J · CIK 0001077830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: In connection with the merger (the "Merger") of Universal Acquisition Co. with and into EMC Corporation on September 7, 2016, at the effective time of the Merger, each outstanding share of EMC Corporation common stock beneficially owned by the reporting person was automatically canceled and converted into the right to receive (i) $24.05 in cash and (ii) 0.11146 of a share of Class V Common Stock of Dell Technologies Inc. (f/k/a Denali Holding Inc.).

SEC source: 0001209191-16-140834 · doc4.xml · derivative · entry 1

CARTY DONALD J · CIK 0001077830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,566

Underlying: see footnote 2 · Not disclosed shares

Expires not disclosed

F1 · derivative.exercise_price: Received in connection with the acquisition by Dell Technologies Inc. ("DT") of EMC Corporation ("EMC") by merger (the "Merger"), in exchange for 32,000 shares of EMC common stock. The reporting person acquired the right to receive $24.05 in cash and 0.11146 shares of DT Class V common stock (the "Class V stock") per share of EMC common stock at the effective time of the Merger. On the effective date of the Merger, the closing price of the Class V stock was $48.00 per share. The Class V stock has no exercise date or expiration date.

F2 · derivative.exercise_price: As of June 30, 2016, EMC held 80.6% of the outstanding common stock of VMware, Inc. ("VMW") and 97.4% of the combined voting power of VMW's outstanding common stock. Effective at the effective time of the Merger, DT became the indirect owner of all of such shares, and VMW became an indirectly-held, majority-owned subsidiary of DT. The Class V stock is intended to track and reflect the economic performance of the Class V Group of DT, which will initially have attributed to it approximately 65% of the economic value of EMC's economic interest in VMware, which was acquired by DT in the Merger. Accordingly, the Class V stock may be considered a derivative security relating to VMW Class A common stock or an equity security relating to VMW. The filing of this Form 4 shall not be deemed an admission that the Class V stock is a derivative security relating to VMW Class A common stock or an equity security relating to VMW for purposes of Section 16 of the Securities Exchange Act of 1934.

F1 · price: Received in connection with the acquisition by Dell Technologies Inc. ("DT") of EMC Corporation ("EMC") by merger (the "Merger"), in exchange for 32,000 shares of EMC common stock. The reporting person acquired the right to receive $24.05 in cash and 0.11146 shares of DT Class V common stock (the "Class V stock") per share of EMC common stock at the effective time of the Merger. On the effective date of the Merger, the closing price of the Class V stock was $48.00 per share. The Class V stock has no exercise date or expiration date.

F2 · price: As of June 30, 2016, EMC held 80.6% of the outstanding common stock of VMware, Inc. ("VMW") and 97.4% of the combined voting power of VMW's outstanding common stock. Effective at the effective time of the Merger, DT became the indirect owner of all of such shares, and VMW became an indirectly-held, majority-owned subsidiary of DT. The Class V stock is intended to track and reflect the economic performance of the Class V Group of DT, which will initially have attributed to it approximately 65% of the economic value of EMC's economic interest in VMware, which was acquired by DT in the Merger. Accordingly, the Class V stock may be considered a derivative security relating to VMW Class A common stock or an equity security relating to VMW. The filing of this Form 4 shall not be deemed an admission that the Class V stock is a derivative security relating to VMW Class A common stock or an equity security relating to VMW for purposes of Section 16 of the Securities Exchange Act of 1934.

F1 · derivative.exercise_date: Received in connection with the acquisition by Dell Technologies Inc. ("DT") of EMC Corporation ("EMC") by merger (the "Merger"), in exchange for 32,000 shares of EMC common stock. The reporting person acquired the right to receive $24.05 in cash and 0.11146 shares of DT Class V common stock (the "Class V stock") per share of EMC common stock at the effective time of the Merger. On the effective date of the Merger, the closing price of the Class V stock was $48.00 per share. The Class V stock has no exercise date or expiration date.

F2 · derivative.exercise_date: As of June 30, 2016, EMC held 80.6% of the outstanding common stock of VMware, Inc. ("VMW") and 97.4% of the combined voting power of VMW's outstanding common stock. Effective at the effective time of the Merger, DT became the indirect owner of all of such shares, and VMW became an indirectly-held, majority-owned subsidiary of DT. The Class V stock is intended to track and reflect the economic performance of the Class V Group of DT, which will initially have attributed to it approximately 65% of the economic value of EMC's economic interest in VMware, which was acquired by DT in the Merger. Accordingly, the Class V stock may be considered a derivative security relating to VMW Class A common stock or an equity security relating to VMW. The filing of this Form 4 shall not be deemed an admission that the Class V stock is a derivative security relating to VMW Class A common stock or an equity security relating to VMW for purposes of Section 16 of the Securities Exchange Act of 1934.

F1 · derivative.expiration_date: Received in connection with the acquisition by Dell Technologies Inc. ("DT") of EMC Corporation ("EMC") by merger (the "Merger"), in exchange for 32,000 shares of EMC common stock. The reporting person acquired the right to receive $24.05 in cash and 0.11146 shares of DT Class V common stock (the "Class V stock") per share of EMC common stock at the effective time of the Merger. On the effective date of the Merger, the closing price of the Class V stock was $48.00 per share. The Class V stock has no exercise date or expiration date.

F2 · derivative.expiration_date: As of June 30, 2016, EMC held 80.6% of the outstanding common stock of VMware, Inc. ("VMW") and 97.4% of the combined voting power of VMW's outstanding common stock. Effective at the effective time of the Merger, DT became the indirect owner of all of such shares, and VMW became an indirectly-held, majority-owned subsidiary of DT. The Class V stock is intended to track and reflect the economic performance of the Class V Group of DT, which will initially have attributed to it approximately 65% of the economic value of EMC's economic interest in VMware, which was acquired by DT in the Merger. Accordingly, the Class V stock may be considered a derivative security relating to VMW Class A common stock or an equity security relating to VMW. The filing of this Form 4 shall not be deemed an admission that the Class V stock is a derivative security relating to VMW Class A common stock or an equity security relating to VMW for purposes of Section 16 of the Securities Exchange Act of 1934.

F1 · derivative.underlying_shares: Received in connection with the acquisition by Dell Technologies Inc. ("DT") of EMC Corporation ("EMC") by merger (the "Merger"), in exchange for 32,000 shares of EMC common stock. The reporting person acquired the right to receive $24.05 in cash and 0.11146 shares of DT Class V common stock (the "Class V stock") per share of EMC common stock at the effective time of the Merger. On the effective date of the Merger, the closing price of the Class V stock was $48.00 per share. The Class V stock has no exercise date or expiration date.

F2 · derivative.underlying_shares: As of June 30, 2016, EMC held 80.6% of the outstanding common stock of VMware, Inc. ("VMW") and 97.4% of the combined voting power of VMW's outstanding common stock. Effective at the effective time of the Merger, DT became the indirect owner of all of such shares, and VMW became an indirectly-held, majority-owned subsidiary of DT. The Class V stock is intended to track and reflect the economic performance of the Class V Group of DT, which will initially have attributed to it approximately 65% of the economic value of EMC's economic interest in VMware, which was acquired by DT in the Merger. Accordingly, the Class V stock may be considered a derivative security relating to VMW Class A common stock or an equity security relating to VMW. The filing of this Form 4 shall not be deemed an admission that the Class V stock is a derivative security relating to VMW Class A common stock or an equity security relating to VMW for purposes of Section 16 of the Securities Exchange Act of 1934.

SEC source: 0001614436-16-000125 · wf-form4_148176736787273.xml · nonDerivative · entry 1

CARTY DONALD J · CIK 0001077830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,878

F1 · shares: This denotes a charitable contribution.

F2 · balance_after: Included 9,288 restricted stock units ("RSUs").