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Filing Details

Accession Number:: 0001675149-16-000071
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2016-11-16 16:34:35
Reporting Period:: 2016-11-14

Filing Date:: 2016-11-16
Accepted Time:: 2016-11-16 16:34:35
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1675149	Alcoa Corp	AA	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1590197	Sean Robert Collins	390 Park Avenue New York NY 10022	Exec Vp And Controller	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2016-11-14	4,012	$24.73	32,046	No	4	M	Direct
Common Stock	Disposition	2016-11-14	4,012	$29.55	28,034	No	4	S	Direct
Common Stock	Acquisiton	2016-11-14	18,271	$19.89	46,305	No	4	M	Direct
Common Stock	Disposition	2016-11-14	18,271	$29.55	28,034	No	4	S	Direct
Common Stock	Acquisiton	2016-11-14	18,164	$22.78	46,198	No	4	M	Direct
Common Stock	Disposition	2016-11-14	18,164	$29.55	28,034	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Employee Stock Option (right to buy)	Disposition	2016-11-14	4,012	$0.00	4,012	$24.73
Common Stock	Employee Stock Option (right to buy)	Disposition	2016-11-14	18,271	$0.00	18,271	$19.89
Common Stock	Employee Stock Option (right to buy)	Disposition	2016-11-14	18,164	$0.00	18,164	$22.78

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
2,006	2024-01-16	No	4	M	Direct
0	2023-01-16	No	4	M	Direct
0	2022-01-20	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	130	Indirect	By Wife in Company 401(k) Plan
Common Stock	454	Indirect	By Company 401(k) Plan

Footnotes

The price reported in column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $29.4350 to $29.7800. The reporting person undertakes to provide to Alcoa Corporation, any security holder of Alcoa Corporation, 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.
Shares of Alcoa Corporation ("Alcoa") common stock were received by the reporting person pursuant to the distribution paid by Alcoa Inc. (now renamed Arconic Inc.) ("Arconic" or "Parent") on November 1, 2016, to Parent shareholders of record as of October 20, 2016 (the "Record Date"), of one share of Alcoa common stock for every three shares of Parent common stock held on the Record Date (the "Distribution"), pursuant to the separation and distribution agreement, dated October 31, 2016, between Alcoa and Parent. Also includes shares of common stock underlying awards resulting from the conversion of Parent equity awards in connection with the Distribution pursuant to the terms of the employee matters agreement, dated as of October 31, 2016, between Alcoa and Parent (the "Employee Matters Agreement").
Resulted from the conversion of Parent stock option awards, in connection with the Distribution pursuant to the terms of the Employee Matters Agreement.
This option is part of an option grant that vests in three equal annual installments beginning January 16, 2015. The installment exercised by the reporting person as reported herein vested on January 16, 2015 and January 16, 2016.
Employee stock options are granted without payment of consideration.
This option vested in three equal annual installments beginning January 16, 2014.
This option vested in three equal annual installments beginning January 16, 2013.