Initial Statement of Beneficial Ownership (3)
November 08 2019 - 4:46PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
*
O'Neill Michelle L |
2. Date of Event Requiring Statement (MM/DD/YYYY)
11/1/2019
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3. Issuer Name and Ticker or Trading Symbol
Alcoa Corp [AA]
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(Last)
(First)
(Middle)
201 ISABELLA STREET, SUITE 500 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
EVP, Chief Ext Affairs Officer / |
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(Street)
PITTSBURGH, PA 15212
(City)
(State)
(Zip)
| 5. 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
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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 | 22581 | D | |
| Common Stock, par value $0.01 per share | 244 (1) | I | 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 Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: 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) | 1/20/2025 | Common Stock | 9514 | $34.83 | D | |
| Employee Stock Option (right to buy) | (3) | 1/19/2026 | Common Stock | 3875 | $15.10 | D | |
| Employee Stock Option (right to buy) | (4) | 2/2/2027 | Common Stock | 7748 | $37.68 | D | |
| Employee Stock Option (right to buy) | (5) | 1/24/2028 | Common Stock | 5150 | $53.30 | D | |
| Employee Stock Option (right to buy) | (6) | 1/24/2029 | Common Stock | 8050 | $27.96 | 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 vested in three equal installments beginning January 20, 2016. |
| (3) | The option vested in three equal installments beginning January 19, 2017. |
| (4) | The option vests in three equal installments beginning February 2, 2018. |
| (5) | The option vests in three equal installments beginning January 24, 2019. |
| (6) | The option vests in three equal installments beginning January 24, 2020. |
Remarks:
Exhibit List Exhibit 24 - Power of Attorney - Michelle L. O'Neill |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
O'Neill Michelle L
201 ISABELLA STREET, SUITE 500
PITTSBURGH, PA 15212 |
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| EVP, Chief Ext Affairs Officer |
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Signatures
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| /s/ Marissa P. Earnest, attorney-in-fact for Michelle L. O'Neill | | 11/8/2019 |
| **Signature of Reporting Person | Date |
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