0001683168-20-000412.txt : 20200207 0001683168-20-000412.hdr.sgml : 20200207 20200207203338 ACCESSION NUMBER: 0001683168-20-000412 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200205 FILED AS OF DATE: 20200207 DATE AS OF CHANGE: 20200207 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Carter Peter W CENTRAL INDEX KEY: 0001647706 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05424 FILM NUMBER: 20589073 MAIL ADDRESS: STREET 1: C/O DELTA AIR LINES, INC. STREET 2: P.O. BOX 20574, DEPT. 981 CITY: ATLANTA STATE: GA ZIP: 30320 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: DELTA AIR LINES, INC. CENTRAL INDEX KEY: 0000027904 STANDARD INDUSTRIAL CLASSIFICATION: AIR TRANSPORTATION, SCHEDULED [4512] IRS NUMBER: 580218548 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: HARTSFIELD-JACKSON ATLANTA INTL AIRPORT STREET 2: 1030 DELTA BOULEVARD CITY: ATLANTA STATE: GA ZIP: 30354-1989 BUSINESS PHONE: 4047152600 MAIL ADDRESS: STREET 1: P.O. BOX 20706 STREET 2: DEPT 981 CITY: ATLANTA STATE: GA ZIP: 30320-6001 FORMER COMPANY: FORMER CONFORMED NAME: DELTA AIR LINES INC /DE/ DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: DELTA AIR CORP DATE OF NAME CHANGE: 19660908 4 1 ownership.xml X0306 4 2020-02-05 0 0000027904 DELTA AIR LINES, INC. DAL 0001647706 Carter Peter W C/O DELTA AIR LINES, INC. P.O. BOX 20574, DEPT. 981 ATLANTA GA 30320 0 1 0 0 EVP and Chief Legal Officer Common Stock 2020-02-05 4 A 0 23817 A 106642 D Common Stock 2020-02-05 4 F 0 10742 58.89 D 95900 D Common Stock 2020-02-05 4 A 0 19480 A 115380 D Employee Stock Option (right to buy) 50.52 2020-02-05 4 A 0 64760 0 A 2020-02-05 2029-02-05 Common Stock 64760 64760 D Settlement of performance awards granted under Delta's 2017 long-term incentive program which were earned effective February 5, 2020. The grant of the performance awards was approved by the Personnel & Compensation Committee of Delta's Board of Directors (the "Committee") and is exempt from Section 16(b) of the Securities Exchange Act of 1934 under Rule 16b-3(d). Shares withheld for payment of tax liability upon settlement of the performance awards earned under Delta's 2017 long-term incentive program. This withholding was approved by the Committee and is exempt from Section 16(b) of the Securities Exchange Act of 1934 under Rules 16b-3(d)(1) and 16b-3(e). The Committee granted Mr. Carter 19,480 shares of restricted common stock under Delta's 2020 long-term incentive program. The shares will vest pursuant to the terms of the award agreement. This grant was approved by the Committee and is exempt from Section 16(b) of the Securities Exchange Act of 1934 under Rule 16b-3(d). On February 6, 2019, the Committee granted Mr. Carter an option to purchase 64,760 shares of common stock. The option vests based on Delta's satisfaction of certain performance criteria. Because the performance criteria were met, the option as to 21,587 shares vested, and the option for the remaining 43,173 shares will vest in equal installments on February 1, 2021 and February 1, 2022. The performance criteria was certified by the Committee on February 5, 2020. This grant was approved by the Committee and is exempt from Section 16(b) of the Securities Exchange Act of 1934 under Rule 16b-3(d). /s/ Julie C. Young as attorney-in-fact for Peter W. Carter 2020-02-07