Filing Details
- Accession Number:
- 0001209191-21-065483
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-11-18 16:33:46
- Reporting Period:
- 2021-11-16
- Accepted Time:
- 2021-11-18 16:33:46
- 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 |
|---|---|---|---|---|---|---|---|
| 1573449 | F William Oplinger | 201 Isabella Street Suite 500 Pittsburgh PA 15212-5858 | Evp & Cfo | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock, Par Value $0.01 Per Share | Acquisiton | 2021-11-16 | 22,466 | $15.10 | 207,816 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 Per Share | Acquisiton | 2021-11-16 | 32,130 | $37.68 | 239,946 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 Per Share | Acquisiton | 2021-11-16 | 19,613 | $27.96 | 259,559 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2021-11-16 | 166,369 | $48.40 | 93,190 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-11-16 | 22,466 | $0.00 | 22,466 | $15.10 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-11-16 | 32,130 | $0.00 | 32,130 | $37.68 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-11-16 | 19,613 | $0.00 | 19,613 | $27.96 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2017-01-19 | 2026-01-19 | No | 4 | M | Direct |
| 0 | 2018-02-02 | 2027-02-02 | No | 4 | M | Direct |
| 9,807 | 2020-01-24 | 2029-01-24 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock, Par Value $0.01 Per Share | 531 | Indirect | By Company 401(k) Plan |
Footnotes
- The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $48.0500 - $48.7900. 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 sold at each price within the range set forth in this footnote.
- Fluctuations in 401(k) share amounts reflect the plan's unit reporting method; units represent interests in the Company's stock fund.
- This option vested in equal installments over three years beginning on the date shown.
- This option was part of an option grant vesting in three equal annual installments beginning on the date shown. The installments exercised by the reporting person as reported herein vested on January 24, 2020 and January 24, 2021.
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