SEC Form 4 · accession 0001675149-18-000024
Alcoa Corp · AA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Roy Christopher Harvey
Officer — President, CEO & Director · Director · 10% Owner
Period of report
Jan 24, 2018
Accepted (ET)
Jan 26, 2018 · 4:49 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 | Jan 24, 2018 | A | 29,320 | $0.00 | A | 108,920 | D | |
| Common Stock, par value $0.01 per shareF2 | Jan 24, 2018 | F | 4,833 | $53.30 | D | 104,087 | D | |
| Common Stock, par value $0.01 per shareF3 | holding | — | — | — | 861 | 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 | 73,290 | A | — | Jan 24, 2028 | Common Stock | 73,290 | 73,290 | 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) 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.