SEC Form 4 · accession 0000004281-16-000153
Howmet Aerospace Inc. · HWM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ulrich Schmidt
Director
Period of report
Oct 3, 2016
Accepted (ET)
Oct 5, 2016 · 5:35 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 Stock | holding | — | — | — | 10,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF1,F2 | — | Oct 3, 2016 | A | 2,981 | A | — | — | Common Stock | 2,981 | 9,362 | D |
Explanation of responses
- F1Each phantom stock unit is the economic equivalent of one share of Alcoa common stock.
- F2Phantom 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.