SEC Form 4 · accession 0001209191-19-005605

Alcoa Corp · AA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — President, CEO & Director · Director

Period of report

Jan 24, 2019

Accepted (ET)

Jan 28, 2019 · 5:27 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 share^F1	Jan 24, 2019	A	57,230	$0.00	A	161,317	D
Common Stock, par value $0.01 per share^F2	Jan 24, 2019	A	8,679	$0.00	A	169,996	D
Common Stock, par value $0.01 per share^F3	Jan 24, 2019	F	10,696	$27.96	D	159,300	D
Common Stock, par value $0.01 per share^F4	holding	—	—		—	874	I	By Company 401(k) plan

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	147,070	A	—	Jan 24, 2029	Common Stock	147,070	147,070	D

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.

Exhibit List Exhibit 24 - Power of Attorney - Roy C. Harvey