SEC Form 4 · accession 0001209191-19-005600
Alcoa Corp · AA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William F Oplinger
Officer — Executive VP & CFO
Period of report
Jan 24, 2019
Accepted (ET)
Jan 28, 2019 · 5:25 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 | 11,450 | $0.00 | A | 110,533 | D | |
| Common Stock, par value $0.01 per shareF2 | Jan 24, 2019 | A | 7,661 | $0.00 | A | 118,194 | D | |
| Common Stock, par value $0.01 per shareF3 | Jan 24, 2019 | F | 9,481 | $27.96 | D | 108,713 | D | |
| Common Stock, par value $0.01 per shareF4 | holding | — | — | — | 528 | I | By Company 401(k) plan |
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)F5 | $27.96 | Jan 24, 2019 | A | 29,420 | A | — | Jan 24, 2029 | Common Stock | 29,420 | 29,420 | 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.
- F3Represents the mandatory and automatic exempt withholding of shares by the issuer to satisfy the reporting person's tax obligations upon the vesting of PRSUs granted in 2016.
- F4Fluctuations in 401(k) share amounts reflect the plan's unit reporting method; units represent interests in the Company's stock fund.
- F5The option vests in three equal installments beginning January 24, 2020.
Remarks
Exhibit List Exhibit 24 - Power of Attorney - William F. Oplinger