SEC Form 4 · accession 0001675149-18-000025
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
Jan 24, 2018
Accepted (ET)
Jan 26, 2018 · 4:50 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 | 4,510 | $0.00 | A | 33,899 | 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)F2 | $53.30 | Jan 24, 2018 | A | 11,260 | A | — | Jan 24, 2028 | Common Stock | 11,260 | 11,260 | 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 grant.
- F2The option vests in three equal annual installments beginning January 24, 2019.