Statement of Changes in Beneficial Ownership (4)
June 02 2023 - 7:46PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
ORNSTEIN JONATHAN G |
2. Issuer Name and Ticker or Trading Symbol
MESA AIR GROUP INC
[
MESA
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) CEO |
(Last)
(First)
(Middle)
410 N. 44TH STREET SUITE 700 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/1/2023 |
(Street)
PHOENIX, AZ 85008 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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(City)
(State)
(Zip)
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Rule 10b5-1(c) Transaction Indication
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Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to
satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 6/1/2023 | | M | | 79602 | A | $0.00 | 744106 | D | |
Common Stock | 6/1/2023 | | M | | 27238 | A | $0.00 | 771344 | D | |
Common Stock | 6/1/2023 | | M | | 67468 | A | $0.00 | 838812 | D | |
Common Stock | 6/1/2023 | | F | | 77655 | D | $1.66 | 761157 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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 |
Restricted Stock Award | $0.00 | 6/1/2023 | | M | | | 79602 | 6/1/2023 | (1) | Common Stock | 79602 | $0.00 | 256883 | D | |
Restricted Stock Award | $0.00 | 6/1/2023 | | M | | | 27238 | 6/1/2023 | (2) | Common Stock | 27238 | $0.00 | 229645 | D | |
Restricted Stock Award | $0.00 | 6/1/2023 | | M | | | 67468 | 6/1/2023 | (3) | Common Stock | 67468 | $0.00 | 162177 | D | |
Restricted Stock Award | $0.00 | 6/1/2023 | | A | | 72421 | | 6/1/2023 | (4) | Common Stock | 72421 | $0.00 | 234598 | D | |
Explanation of Responses: |
(1) | A restricted stock award of 238,806 was granted under the 2018 Equity Incentive Plan on June 1, 2020. This is the final tranche of this award. |
(2) | A restricted stock award of 81,716 shares was granted under the 2018 Equity Incentive Plan on June 1, 2021. The final tranche of this award will vest 27,240 shares on June 1, 2024. |
(3) | A restricted stock award of 202,405 shares was granted under the 2018 Equity Incentive Plan on June 1, 2022. Additional tranches of this award will vest as follows: 67,468 shares on June 1, 2024; and 67,469 shares on June 1, 2025. |
(4) | A restricted stock award of 72,421 shares was granted under the 2018 Equity Incentive Plan on June 1, 2023. Tranches of this award will vest annually in equal one third increments. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
ORNSTEIN JONATHAN G 410 N. 44TH STREET SUITE 700 PHOENIX, AZ 85008 |
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| CEO |
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Signatures
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/s/Jonathan Ornstein | | 6/2/2023 |
**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 control number. |
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