SEC Form 4 · accession 0001675149-17-000014
Alcoa Corp · AA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tomas Mar Sigurdsson
Officer — Exec VP and COO
Period of report
Feb 2, 2017
Accepted (ET)
Feb 6, 2017 · 6:49 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 | Feb 2, 2017 | A | 5,840 | $0.00 | A | 52,341 | D | |
| Common Stock, par value $0.01 per shareF2 | Feb 2, 2017 | A | 1,784 | $0.00 | A | 54,125 | D | |
| Common Stock, par value $0.01 per shareF2 | Feb 2, 2017 | A | 2,532 | $0.00 | A | 56,657 | D | |
| Common Stock, par value $0.01 per shareF2 | Feb 2, 2017 | A | 5,356 | $0.00 | A | 62,013 | D | |
| Common Stock, par value $0.01 per shareF3 | Feb 2, 2017 | F | 2,954 | $37.68 | D | 59,059 | 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)F4 | $37.68 | Feb 2, 2017 | A | 17,680 | A | — | Feb 2, 2027 | Common Stock | 17,680 | 17,680 | D |
Explanation of responses
- F1Award of restricted stock units (RSUs), which are settled in stock upon vesting, generally on the third anniversary of the date of the grant.
- F2Earned 2016 tranche of performance restricted stock unit awards.
- F3Represents payment of tax liability by withholding shares incident to the vesting of a performance restricted stock unit award granted in 2014.
- F4The option vests in three equal annual installments beginning February 2, 2018