Filing Details

Accession Number:
0001209191-21-027943
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-04-22 16:18:41
Reporting Period:
2021-04-20
Accepted Time:
2021-04-22 16:18:41
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
1612161 Christopher Roy Harvey 201 Isabella Street
Suite 500
Pittsburgh PA 15212-5858
President, Ceo & Director Yes 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 2021-04-20 4,625 $22.78 534,297 No 4 M Direct
Common Stock, Par Value $0.01 Per Share Acquisiton 2021-04-20 12,431 $19.89 546,728 No 4 M Direct
Common Stock, Par Value $0.01 Per Share Acquisiton 2021-04-20 46,580 $24.73 593,308 No 4 M Direct
Common Stock, Par Value $0.01 Per Share Acquisiton 2021-04-20 76,354 $15.10 669,662 No 4 M Direct
Common Stock, Par Value $0.01 Per Share Acquisiton 2021-04-20 98,047 $27.96 767,709 No 4 M Direct
Common Stock, Par Value $0.01 Per Share Disposition 2021-04-20 238,037 $32.91 529,672 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 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 2021-04-20 4,625 $0.00 4,625 $22.78
Common Stock Employee Stock Option (right to buy) Disposition 2021-04-20 12,431 $0.00 12,431 $19.89
Common Stock Employee Stock Option (right to buy) Disposition 2021-04-20 46,580 $0.00 46,580 $24.73
Common Stock Employee Stock Option (right to buy) Disposition 2021-04-20 76,354 $0.00 76,354 $15.10
Common Stock Employee Stock Option (right to buy) Disposition 2021-04-20 98,047 $0.00 98,047 $27.96
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2013-01-20 2022-01-20 No 4 M Direct
0 2014-01-16 2023-01-16 No 4 M Direct
0 2015-01-16 2024-01-16 No 4 M Direct
0 2017-01-19 2026-01-19 No 4 M Direct
49,023 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 884 Indirect By Company 401(k) Plan
Footnotes
  1. The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $32.8150 - $33.0200. 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.
  2. Fluctuations in 401(k) share amounts reflect the plan's unit reporting method; units represent interests in the Company's stock fund.
  3. This option vested in equal installments over three years beginning on the date shown.
  4. 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.