FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 11/01/2018 |
3. Issuer Name and Ticker or Trading Symbol
Alcoa Corp [ AA ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, par value $0.01 per share | 28,125 | D | |
Common Stock, par value $0.01 per share | 594 | I(1) | By Company 401(k) Plan |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (right to buy) | (2) | 02/02/2027 | Common Stock | 7,390 | $37.68 | D | |
Employee Stock Option (right to buy) | (3) | 01/24/2028 | Common Stock | 7,280 | $53.3 | D | |
Phantom Stock Units | (4) | (4) | Common Stock | 75 | (5) | D |
Explanation of Responses: |
1. Fluctuations in 401(k) share amounts reflect the plan's unit reporting method; units represent interests in the Company's stock fund. |
2. The option vests in three equal annual installments beginning February 2, 2018. |
3. The option vests in three equal annual installments beginning January 24, 2019. |
4. Phantom stock units, acquired under the Alcoa USA Corp. Deferred Compensation Plan (the "Plan"), are to be paid out in cash after termination of employment. The reporting person may transfer the phantom stock units into an alternative investment account under the Plan at times permitted under the Plan. |
5. Each phantom stock unit is the economic equivalent of one share of Alcoa Corporation common stock. |
Remarks: |
Exhibit List Exhibit 24 - Power of Attorney - Timothy D. Reyes |
/s/ Marissa P. Earnest, attorney-in-fact for Timothy D. Reyes | 11/09/2018 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |