SEC Form 4 · accession 0000004281-19-000044
Howmet Aerospace Inc. · HWM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John C Plant
Officer — Chairman and CEO · Director
Period of report
Mar 5, 2019
Accepted (ET)
Mar 7, 2019 · 4:35 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 StockF3,F4 | Mar 5, 2019 | P | 35,000 | $18.6509 | A | 45,000 | I | By Trust |
| Common StockF5,F4 | Mar 6, 2019 | P | 35,000 | $18.7037 | A | 80,000 | I | By Trust |
| Common StockF6,F4 | Mar 7, 2019 | P | 35,000 | $18.1612 | A | 115,000 | I | By Trust |
| Common StockF1 | holding | — | — | — | 28,282 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The amount of securities beneficially owned reflects the forfeiture of 4,450 restricted stock units in connection with the reporting person's cessation of service as Non-Executive Chairman of Arconic Inc. and appointment as Chairman and Chief Executive Officer of Arconic Inc. The acquisition of these restricted stock units was previously reported in Table I of the reporting person's Form 4 on October 24, 2018.
- F2The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F3The price reported in column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $18.47 to $18.75. The reporting person undertakes to provide to Arconic Inc., any security holder of Arconic Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote.
- F4Revocable living trust of which the reporting person is the trustee and beneficiary, with voting and investment power.
- F5The price reported in column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $18.53 to $18.94. The reporting person undertakes to provide to Arconic Inc., any security holder of Arconic Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote.
- F6The price reported in column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $18.03 to $18.61. The reporting person undertakes to provide to Arconic Inc., any security holder of Arconic Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote.