SEC Form 4 · accession 0001675149-16-000043
Alcoa Corp · AA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
ALCOA INC.
10% Owner
Period of report
Oct 20, 2016
Accepted (ET)
Oct 24, 2016 · 5:32 pm EDT
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,F2 | Oct 20, 2016 | J | 146,159,428 | $0.00 | D | 36,311,767 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The record date for the distribution by Alcoa Inc. of shares of Alcoa Upstream Corporation common stock to the holders of Alcoa Inc. common stock was at the close of business on October 20, 2016. The distribution of the Alcoa Upstream Corporation shares is scheduled to occur on November 1, 2016.
- F2Pursuant to its certificate of incorporation, as amended, Alcoa Upstream Corporation effected a stock split of its common stock, which became effective on October 20, 2016, the record date for the distribution of the Alcoa Upstream Corporation shares. Prior to the stock split, Alcoa Inc. owned 1,000 shares of Alcoa Upstream Corporation common stock and, as a result of the stock split, such shares of Alcoa Upstream Corporation common stock became 182,471,195 shares of Alcoa Upstream Corporation common stock.