SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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

(Last) (First) (Middle)
410 N. 44TH STREET, SUITE 700

(Street)
PHOENIX AZ 85008

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
08/09/2018
3. Issuer Name and Ticker or Trading Symbol
MESA AIR GROUP INC [ MESA ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
Chairman and CEO
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 548,550 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units 06/01/2018 (1) Common Stock 45,808 0.00 D
Stock Appreciation Rights 01/21/2015(2) 01/20/2024 Common Stock 250,000 1.6 D
Stock Appreciation Rights 07/21/2016(3) 07/20/2025 Common Stock 250,000 6.8 D
Stock Appreciation Rights 01/19/2017(4) 01/18/2026 Common Stock 250,000 7.1 D
Restricted Stock Award 07/21/2016 (5) Common Stock 75,000 0.00 D
Restricted Stock Award 06/01/2017 (6) Common Stock 57,973 0.00 D
Restricted Stock Award 06/01/2018 (7) Common Stock 75,405 0.00 D
Explanation of Responses:
1. Each restricted stock unit represents the right to receive, on a one for one basis, common stock of the Company. The restricted stock shall vest annually in equal one-third increments beginning on June 1, 2018, until fully vested.
2. Cash-settled stock appreciation rights.
3. Cash-settled stock appreciation rights.
4. Cash-settled stock appreciation rights of which 83,335 shares remain unvested.
5. The restricted stock award vests as follows: Annually in equal increments beginning on July 21, 2016, until fully vested.
6. The restricted stock award vests as follows: Annually in equal one-third increments beginning on June 1, 2017, until fully vested.
7. The restricted stock award vests as follows: Annually in equal one-third increments beginning on June 1, 2018, until fully vested.
Remarks:
/s/ Jonathan G. Ornstein 08/09/2018
** 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 5 (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.
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