0001104659-20-043884.txt : 20200406 0001104659-20-043884.hdr.sgml : 20200406 20200406212537 ACCESSION NUMBER: 0001104659-20-043884 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200402 FILED AS OF DATE: 20200406 DATE AS OF CHANGE: 20200406 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PLANT JOHN C CENTRAL INDEX KEY: 0001136562 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-03610 FILM NUMBER: 20778248 MAIL ADDRESS: STREET 1: C/O MASCO CORPORATION STREET 2: 17450 COLLEGE PARKWAY CITY: LIVONIA STATE: MI ZIP: 48152 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Howmet Aerospace Inc. CENTRAL INDEX KEY: 0000004281 STANDARD INDUSTRIAL CLASSIFICATION: ROLLING DRAWING & EXTRUDING OF NONFERROUS METALS [3350] IRS NUMBER: 250317820 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 201 ISABELLA STREET STREET 2: SUITE 200 CITY: PITTSBURGH STATE: PA ZIP: 15212-5872 BUSINESS PHONE: (412) 553-1940 MAIL ADDRESS: STREET 1: 201 ISABELLA STREET CITY: PITTSBURGH STATE: PA ZIP: 15212-5872 FORMER COMPANY: FORMER CONFORMED NAME: Arconic Inc. DATE OF NAME CHANGE: 20161101 FORMER COMPANY: FORMER CONFORMED NAME: ALCOA INC. DATE OF NAME CHANGE: 20141003 FORMER COMPANY: FORMER CONFORMED NAME: ALCOA INC DATE OF NAME CHANGE: 19990105 4 1 tm2015210-1_4.xml OWNERSHIP DOCUMENT X0306 4 2020-04-02 0 0000004281 Howmet Aerospace Inc. HWM 0001136562 PLANT JOHN C 201 ISABELLA STREET PITTSBURGH PA 15212 1 1 0 0 Co-CEO Restricted Stock Units 2020-04-02 4 A 0 1000000 0.0 A Common Stock 1000000 1600000 D Restricted Stock Units 2020-04-02 4 A 0 1800000 0.0 A Common Stock 1800000 3400000 D Each restricted stock unit represents a contingent right to receive one share of common stock of Howmet Aerospace Inc. ("Howmet") or, at Howmet's election, cash equivalent to the fair market value thereof. The restricted stock units will vest in three equal installments on March 31, 2021, March 31, 2022 and March 31, 2023, respectively, and subject to the reporting person's continued employment through the applicable vesting date. These restricted stock units vest in full or in part on March 31, 2023, and are contingent on Mr. Plant's continued service as Co-Chief Executive Officer through such date and the achievement of certain performance goals relating to Howmet's stock price and subject to partial or full accelerated vesting upon the occurrence of certain events. Vested restricted stock units will be settled in shares or cash, as applicable, within 30 days following the vesting date. On April 1, 2020, Arconic Inc. completed the separation of its business into two independent, publicly-traded companies (the "Separation"): Howmet 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. /s/ Margaret Lam (Assistant Secretary), by power of attorney 2020-04-06