Statement of Changes in Beneficial Ownership (4)
February 04 2021 - 3:44PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Kahrs Benjamin D |
2. Issuer Name and Ticker or Trading Symbol
Alcoa Corp
[
AA
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP & Chief Innovation Officer |
(Last)
(First)
(Middle)
201 ISABELLA STREET, SUITE 500 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/3/2021 |
(Street)
PITTSBURGH, PA 15212
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Phantom Stock Units | (1) | 2/3/2021 | | I | | 616 | | (2) | (2) | Common Stock | 616 | $19.52 | 4976 | D | |
Explanation of Responses: |
(1) | Each phantom stock unit is the economic equivalent of one share of Alcoa common stock. |
(2) | Phantom stock units, acquired under the Alcoa 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. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Kahrs Benjamin D 201 ISABELLA STREET SUITE 500 PITTSBURGH, PA 15212 |
|
| EVP & Chief Innovation Officer |
|
Signatures
|
/s/ Marissa P. Earnest, attorney-in-fact for Benjamin D. Kahrs | | 2/4/2021 |
**Signature of Reporting Person | Date |
Alcoa (NYSE:AA)
Historical Stock Chart
From Apr 2024 to May 2024
Alcoa (NYSE:AA)
Historical Stock Chart
From May 2023 to May 2024