Statement of Changes in Beneficial Ownership (4)
January 25 2023 - 03:32PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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
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Jones Tammi A |
2. Issuer Name and Ticker or Trading Symbol
Alcoa Corp
[
AA
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP & CHRO |
(Last)
(First)
(Middle)
201 ISABELLA STREET, SUITE 500 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/23/2023 |
(Street)
PITTSBURGH, PA 15212
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, par value $0.01 per share | 1/23/2023 | | F | | 7228 (1) | D | $51.75 | 34702 | D | |
Common Stock, par value $0.01 per share | 1/23/2023 | | A | | 134 (2) | A | $51.75 | 34836 | D | |
Common Stock, par value $0.01 per share | 1/23/2023 | | F | | 70 (3) | D | $51.75 | 34766 | D | |
Common Stock, par value $0.01 per share | | | | | | | | 58 (4) | I | By Company 401(k) Plan |
Common Stock, par value $0.01 per share | 1/23/2023 | | F | | 1810 (1) | D | $51.75 | 5789 | I | By Spouse |
Common Stock, par value $0.01 per share | 1/23/2023 | | A | | 33 (2) | A | $51.75 | 5822 | I | By Spouse |
Common Stock, par value $0.01 per share | 1/23/2023 | | F | | 18 (3) | D | $51.75 | 5804 | I | By Spouse |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 |
Explanation of Responses: |
(1) | Represents the withholding of shares by the issuer to satisfy the reporting person's tax obligations upon the vesting of restricted share units granted in 2020. |
(2) | Shares acquired pursuant to stock settlement of dividend equivalents accumulated in cash and converted to stock upon the vesting and settlement of the underlying RSUs, granted in 2020, based on the share price at the time of vesting. |
(3) | Represents the withholding of shares by the issuer to satisfy the reporting person's tax obligations upon stock settlement of dividend equivalents accumulated in cash and converted to stock upon the vesting and settlement of the underlying RSUs, granted in 2020, based on the share price at the time of vesting. |
(4) | Fluctuations in 401(k) share amounts reflect the plan's unit reporting method; units represent interests in the Company's stock fund. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Jones Tammi A 201 ISABELLA STREET SUITE 500 PITTSBURGH, PA 15212 |
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| EVP & CHRO |
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Signatures
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/s/ Marissa P. Earnest, attorney-in-fact for Tammi A. Jones | | 1/25/2023 |
**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 4(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 control number. |
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