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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Rogers Kenneth C AIR LINE PILOTS ASSOCIATION DELTA MEC 100 HARTSFIELD CENTER PARKWAY, SUITE 200 ATLANTA,, GA 30354 |
X |
/s/ Nanci Oliver Sloan as attorney-in-fact for Kenneth C. Rogers | 03/09/2009 | |
**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) | See explanatory remark below. |
Remarks: After the close of business on March 5, 2009, pursuant to the terms of an agreement among Delta, the Delta Master Executive Council, the Northwest Master Executive Council and the Air Line Pilots Association, International, Delta distributed approximately 98% of the shares issuable in respect of that agreement on behalf of eligible Delta and Northwest pilots in kind to such pilots' retirement plan accounts and also in some cases directly to such pilots. Subsequent to the date of the previously amended Form 4, Delta recalculated that the total number of shares to be issued for the benefit of eligible Delta and Northwest Pilots is 49,619,919 shares; which is slightly greater than previously estimated. On March 6, 2009, 4,133.631 shares were distributed to a Delta Pilot Savings Plan account of Mr. Rogers. The remaining shares issuable for the benefit of eligible Delta and Northwest Pilots, including the shares allocable to Mr. Rogers, will be held by Delta in respect of adjustments for distribution errors and any distribution or sale of such shares for the payment of certain incurred related expenses of ALPA. Mr. Rogers has the right to receive any shares remaining after such pro rata adjustments are subtracted from his allocation, but the number of additional shares to be allocated to him is not known at this time. Mr. Rogers' acquisition of all shares of Delta common stock described herein is exempt from Section 16(b) of the Securities Exchange Act of 1934 under Rule 16b-3(d). |