SEC Form 4 · accession 0001675149-18-000011

Alcoa Corp · AA

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

Reporting owner

Officer — Executive VP & CFO

Period of report

Jan 22, 2018

Accepted (ET)

Jan 24, 2018 · 5:16 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	Jan 22, 2018	M	6,804	$30.33	A	108,915	D
Common Stock	Jan 22, 2018	M	2,384	$36.38	A	111,299	D
Common Stock	Jan 22, 2018	M	44,473	$22.78	A	155,772	D
Common Stock	Jan 22, 2018	M	40,293	$19.89	A	196,065	D
Common Stock	Jan 22, 2018	M	50,629	$24.73	A	246,694	D
Common Stock	Jan 22, 2018	M	39,958	$34.83	A	286,652	D
Common Stock	Jan 22, 2018	M	44,934	$15.10	A	331,586	D
Common Stock^F1	Jan 22, 2018	S	6,804	$52.8555	D	324,782	D
Common Stock^F1	Jan 22, 2018	S	2,384	$52.8555	D	322,398	D
Common Stock^F1	Jan 22, 2018	S	44,473	$52.8555	D	277,925	D
Common Stock^F1	Jan 22, 2018	S	40,293	$52.8555	D	237,632	D
Common Stock^F1	Jan 22, 2018	S	50,629	$52.8555	D	187,003	D
Common Stock^F1	Jan 22, 2018	S	39,958	$52.8555	D	147,045	D
Common Stock^F1	Jan 22, 2018	S	44,934	$52.8555	D	102,111	D
Common Stock^F2	holding	—	—		—	521	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)^F3	$30.33	Jan 22, 2018	M	6,804	D	Jan 26, 2011	Jan 26, 2020	Common Stock	6,804	0	D
Employee Stock Option (right to buy)^F3	$36.38	Jan 22, 2018	M	2,384	D	Jan 25, 2012	Jan 25, 2021	Common Stock	2,384	0	D
Employee Stock Option (right to buy)^F3	$22.78	Jan 22, 2018	M	44,473	D	Jan 20, 2013	Jan 20, 2022	Common Stock	44,473	0	D
Employee Stock Option (right to buy)^F3	$19.89	Jan 22, 2018	M	40,293	D	Jan 16, 2014	Jan 16, 2023	Common Stock	40,293	0	D
Employee Stock Option (right to buy)^F3	$24.73	Jan 22, 2018	M	50,629	D	Jan 16, 2015	Jan 16, 2024	Common Stock	50,629	0	D
Employee Stock Option (right to buy)^F3	$34.83	Jan 22, 2018	M	39,958	D	Jan 20, 2016	Jan 20, 2025	Common Stock	39,958	0	D
Employee Stock Option (right to buy)^F4	$15.10	Jan 22, 2018	M	44,934	D	Jan 19, 2017	Jan 19, 2026	Common Stock	44,934	22,466	D

F1The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $52.3700 - $53.6000. The reporting person undertakes to provide to Alcoa Corp., any security holder of Alcoa Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
F2Fluctuations in 401(k) amounts reflect the plan's unit reporting method; units represent interests in the Company's stock fund.
F3This option vested in equal installments over three years beginning on the date shown.
F4This option was part of an option grant that vested in three equal annual installments beginning on the date shown. The installments exercised by the reporting person as reported herein vested in two equal annual installments on January 19, 2017 and January 19, 2018.