SEC Form 4 · accession 0000004281-15-000021
Howmet Aerospace Inc. · HWM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Klaus Kleinfeld
Officer — Chairman and CEO · Director
Period of report
Jan 20, 2015
Accepted (ET)
Jan 22, 2015 · 5:15 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000004281
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 20, 2015 | F | 124,145 | $15.55 | D | 2,258,887 | D | |
| Common Stock | Jan 20, 2015 | F | 120,137 | $15.55 | D | 2,138,750 | D | |
| Common Stock | Jan 20, 2015 | F | 139,972 | $15.55 | D | 1,998,778 | D | |
| Common Stock | holding | — | — | — | 7,836 | 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)F2,F1 | $15.55 | Jan 20, 2015 | A | 480,990 | A | — | Jan 20, 2025 | Common Stock | 480,990 | 480,990 | D |
Explanation of responses
- F1The option vests in three equal annual installments beginning January 20, 2016.
- F2Employee stock options are granted without payment of consideration.