SEC Form 4 · accession 0000004281-17-000014
Howmet Aerospace Inc. · HWM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ken Giacobbe
Officer — Exec. VP and CFO
Period of report
Jan 13, 2017
Accepted (ET)
Jan 18, 2017 · 9:18 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 13, 2017 | A | 2,053 | $0.00 | A | 40,180 | D | |
| Common Stock | Jan 13, 2017 | A | 1,621 | $0.00 | A | 41,801 | D | |
| Common Stock | Jan 13, 2017 | A | 3,736 | $0.00 | A | 45,537 | D | |
| Common Stock | holding | — | — | — | 662 | 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 | $21.13 | Jan 13, 2017 | A | 51,760 | A | — | Jan 13, 2027 | Common Stock | 51,760 | 51,760 | D |
Explanation of responses
- F1The option vests in three equal annual installments beginning January 13, 2018.
- F2Employee stock options are granted without payment of consideration.