0001209191-22-005371.txt : 20220128 0001209191-22-005371.hdr.sgml : 20220128 20220128161303 ACCESSION NUMBER: 0001209191-22-005371 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220126 FILED AS OF DATE: 20220128 DATE AS OF CHANGE: 20220128 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Harvey Roy Christopher CENTRAL INDEX KEY: 0001612161 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37816 FILM NUMBER: 22568914 MAIL ADDRESS: STREET 1: 201 ISABELLA STREET, SUITE 500 CITY: PITTSBURGH STATE: PA ZIP: 15212 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Alcoa Corp CENTRAL INDEX KEY: 0001675149 STANDARD INDUSTRIAL CLASSIFICATION: PRIMARY PRODUCTION OF ALUMINUM [3334] IRS NUMBER: 811789115 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 201 ISABELLA STREET STREET 2: SUITE 500 CITY: PITTSBURGH STATE: PA ZIP: 15212 BUSINESS PHONE: 412-315-2900 MAIL ADDRESS: STREET 1: 201 ISABELLA STREET STREET 2: SUITE 500 CITY: PITTSBURGH STATE: PA ZIP: 15212 FORMER COMPANY: FORMER CONFORMED NAME: Alcoa Upstream Corp DATE OF NAME CHANGE: 20160520 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2022-01-26 0 0001675149 Alcoa Corp AA 0001612161 Harvey Roy Christopher 201 ISABELLA STREET SUITE 500 PITTSBURGH PA 15212-5858 1 1 0 0 President, CEO & Director Common Stock, par value $0.01 per share 2022-01-26 4 A 0 52680 0.00 A 560010 D Common Stock, par value $0.01 per share 2022-01-26 4 A 0 248936 0.00 A 808946 D Common Stock, par value $0.01 per share 2022-01-26 4 F 0 108222 60.75 D 700724 D Common Stock, par value $0.01 per share 2022-01-26 4 M 0 27474 34.83 A 728198 D Common Stock, par value $0.01 per share 2022-01-26 4 M 0 88360 37.68 A 816558 D Common Stock, par value $0.01 per share 2022-01-26 4 M 0 73290 53.30 A 889848 D Common Stock, par value $0.01 per share 2022-01-26 4 M 0 49023 27.96 A 938871 D Common Stock, par value $0.01 per share 2022-01-26 4 S 0 197310 60.5424 D 741561 D Common Stock, par value $0.01 per share 2022-01-26 4 S 0 40837 60.9823 D 700724 D Common Stock, par value $0.01 per share 873 I By Company 401(k) Plan Employee Stock Option (right to buy) 34.83 2022-01-26 4 M 0 27474 0.00 D 2016-01-20 2025-01-20 Common Stock 27474 0 D Employee Stock Option (right to buy) 37.68 2022-01-26 4 M 0 88360 0.00 D 2018-02-02 2027-02-02 Common Stock 88360 0 D Employee Stock Option (right to buy) 53.30 2022-01-26 4 M 0 73290 0.00 D 2019-01-24 2028-01-24 Common Stock 73290 0 D Employee Stock Option (right to buy) 27.96 2022-01-26 4 M 0 49023 0.00 D 2020-01-24 2029-01-24 Common Stock 49023 0 D Award of restricted stock units, which are settled in stock upon vesting, generally on the third anniversary of the date of grant. Earned performance restricted stock units (PRSUs) granted in 2019. Represents the withholding of shares by the issuer to satisfy the reporting person's tax obligations upon the vesting of PRSUs granted in 2019. The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $59.9100 - $60.9000. The reporting person undertakes to provide to Alcoa Corporation, any security holder of Alcoa Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote. The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $60.9100 - $61.2000. The reporting person undertakes to provide to Alcoa Corporation, any security holder of Alcoa Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote. Fluctuations in 401(k) share amounts reflect the plan's unit reporting method; units represent interests in the Company's stock fund. This option vested in equal installments over three years beginning on the date shown. /s/ Marissa P. Earnest, attorney-in-fact for Roy C. Harvey 2022-01-28