SEC Form 4 · accession 0001675149-18-000023
Alcoa Corp · AA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Leigh Ann Fisher
Officer — Exec VP and CAO
Period of report
Jan 24, 2018
Accepted (ET)
Jan 26, 2018 · 4:48 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 | Jan 24, 2018 | A | 3,640 | $0.00 | A | 31,256 | D | |
| Common Stock, par value $0.01 per shareF2 | Jan 24, 2018 | F | 581 | $53.30 | D | 30,675 | D | |
| Common Stock, par value $0.01 per shareF3 | holding | — | — | — | 998 | I | By Company 401(k) Plan |
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 | $53.30 | Jan 24, 2018 | A | 9,090 | A | — | Jan 24, 2028 | Common Stock | 9,090 | 9,090 | 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.
- F2Represents payment of tax liability by withholding shares incident to the vesting of a performance restricted stock unit award granted in 2015.
- F3Fluctuations in 401(k) share amounts reflect the plan's unit reporting method; units represent interests in the Company's stock fund.
- F4The option vests in three equal annual installments beginning January 24, 2019.