Initial Statement of Beneficial Ownership (3)
April 09 2020 - 6:55PM
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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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
*
Oal Tolga I |
2. Date of Event Requiring Statement (MM/DD/YYYY)
4/1/2020
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3. Issuer Name and Ticker or Trading Symbol
Howmet Aerospace Inc. [HWM]
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(Last)
(First)
(Middle)
201 ISABELLA STREET, SUITE 200 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
Co-Chief Executive Officer / |
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(Street)
PITTSBURGH,, PA 15212-5872
(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 | 110160 (1) | D | |
| Common Stock | 1319 | 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 |
| Phantom Stock Units | (2) | (2) | Common Stock | 1886 | (3) | D | |
| Explanation of Responses: |
| (1) | On April 1, 2020, Arconic Inc. completed the separation of its business into two independent, publicly-traded companies (the Separation): Howmet Aerospace Inc. and Arconic Corporation. In connection with the Separation, all equity awards held by the reporting person with respect to Arconic Inc.'s common stock as of the Separation will be adjusted in a manner intended to preserve the aggregate intrinsic value of the original award. The amount of securities reported on this Form 4 do not reflect such adjustment, to the extent applicable, and this Form 4 will be amended in a subsequent filing to reflect such adjustment. |
| (2) | Phantom stock units were acquired under the Arconic Deferred Compensation Plan and are to be paid out in cash after termination of employment. The reporting person may transfer the phantom stock into an alternative investment account under the Plan at times permitted under the Plan. |
| (3) | 1 For 1 |
Remarks:
Exhibit List: Exhibit 24 - Power of Attorney - Tolga Oal |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Oal Tolga I
201 ISABELLA STREET
SUITE 200
PITTSBURGH,, PA 15212-5872 | X |
| Co-Chief Executive Officer |
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Signatures
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| /s/ Margaret Lam (Assistant Secretary, by power of attorney | | 4/9/2020 |
| **Signature of Reporting Person | Date |
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