SEC Form 4 · accession 0000004281-16-000114
Howmet Aerospace Inc. · HWM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John C Plant
Director
Period of report
Apr 1, 2016
Accepted (ET)
Apr 5, 2016 · 1:23 pm EDT
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 StockF1 | holding | — | — | — | 30,000 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF2,F3 | — | Apr 1, 2016 | A | 3,304 | A | — | — | Common Stock | 3,304 | 3,304 | D |
Explanation of responses
- F1Revocable living trust of which the reporting person is the trustee and beneficiary, with voting and investment power.
- F2Each phantom stock unit is the economic equivalent of one share of Alcoa common stock.
- F3Phantom stock units were acquired under the Alcoa 2005 Deferred Fee Plan for Directors and are to be paid out in cash after Board service ends.