SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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*
Roegner Eric V

(Last) (First) (Middle)
390 PARK AVENUE

(Street)
NEW YORK, NY 10022

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
05/01/2017
3. Issuer Name and Ticker or Trading Symbol
Arconic Inc. [ ARNC ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Executive Vice President
5. If Amendment, Date of Original Filed (Month/Day/Year)
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 Beneficially Owned
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 111,877 D
Common Stock 2,523 I By Company 401(k) Plan
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: 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) (1) 01/25/2021 Common Stock 6,790 $36.6 D
Employee Stock Option (right to buy) (2) 01/20/2022 Common Stock 11,317 $22.92 D
Employee Stock Option (right to buy) (3) 01/16/2023 Common Stock 10,012 $20.01 D
Employee Stock Option (right to buy) (4) 01/19/2026 Common Stock 32,621 $15.19 D
Phantom Stock Units (5) (5) Common Stock 1,431 (6) D
Explanation of Responses:
1. The option vested in three equal annual installments beginning January 25, 2012.
2. The option vested in three equal annual installments beginning January 20, 2013.
3. The option vested in three equal annual installments beginning January 16, 2014.
4. The option vests in three equal annual installments beginning January 19, 2017.
5. 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.
6. 1 For 1
Remarks:
Exhibit List Exhibit 24 - Power of Attorney - Eric V. Roegner
/s/ Margaret Lam (Assistant Secretary), by power of attorney 05/09/2017
** 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 5 (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.
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