SEC Form 4 · accession 0001675149-17-000061
Alcoa Corp · AA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey D. Heeter
Officer — EVP, Gen. Counsel & Secretary
Period of report
Aug 29, 2017
Accepted (ET)
Aug 30, 2017 · 5:16 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001675149
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF1,F2 | — | Aug 29, 2017 | I | 6,194 | A | — | — | Common Stock | 6,194 | 6,194 | D |
Explanation of responses
- F1Each phantom stock unit is the economic equivalent of one share of Alcoa common stock.
- F2Phantom stock units, acquired under the Alcoa Deferred Compensation Plan, are to be paid out in cash after termination of employment. The reporting person may transfer the phantom stock into an alternative investment account under the Plan at times permitted under the Plan.