SEC Form 4 · accession 0001209191-19-005589
Alcoa Corp · AA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael A. Parker
Officer — President, Alumina segment
Period of report
Jan 24, 2019
Accepted (ET)
Jan 28, 2019 · 5:17 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001675149
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.01 per shareF1 | Jan 24, 2019 | A | 7,160 | $0.00 | A | 37,190 | D | |
| Common Stock, par value $0.01 per shareF2 | Jan 24, 2019 | A | 989 | $0.00 | A | 38,179 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F3 | $27.96 | Jan 24, 2019 | A | 18,390 | A | — | Jan 24, 2029 | Common Stock | 18,390 | 18,390 | D |
Explanation of responses
- F1Award of restricted stock units, which are settled in stock upon vesting, generally on the third anniversary of the date of grant.
- F2Earned 2018 tranche of performance restricted stock unit (PRSU) awards granted in 2016.
- F3The option vests in three equal installments beginning January 24, 2020.