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Alcoa Corp — Director's Dealing 2021
Nov 18, 2021
30683_dirs_2021-11-18_f633f0a4-d9cb-4ddf-a456-4a18abc27db2.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Alcoa Corp (AA)
CIK: 0001675149
Period of Report: 2021-11-16
Reporting Person: Oplinger William F (EVP & CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-11-16 | Common Stock, par value $0.01 per share | M | 22466 | $15.10 | Acquired | 207816 | Direct |
| 2021-11-16 | Common Stock, par value $0.01 per share | M | 32130 | $37.68 | Acquired | 239946 | Direct |
| 2021-11-16 | Common Stock, par value $0.01 per share | M | 19613 | $27.96 | Acquired | 259559 | Direct |
| 2021-11-16 | Common Stock, par value $0.01 per share | S | 166369 | $48.3961 | Disposed | 93190 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-11-16 | Employee Stock Option (right to buy) | $15.10 | M | 22466 | Disposed | 2026-01-19 | Common Stock (22466) | Direct |
| 2021-11-16 | Employee Stock Option (right to buy) | $37.68 | M | 32130 | Disposed | 2027-02-02 | Common Stock (32130) | Direct |
| 2021-11-16 | Employee Stock Option (right to buy) | $27.96 | M | 19613 | Disposed | 2029-01-24 | Common Stock (19613) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock, par value $0.01 per share | 531 | Indirect |
Footnotes
F1: The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $48.0500 - $48.7900. 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.
F2: Fluctuations in 401(k) share amounts reflect the plan's unit reporting method; units represent interests in the Company's stock fund.
F3: This option vested in equal installments over three years beginning on the date shown.
F4: This option was part of an option grant vesting in three equal annual installments beginning on the date shown. The installments exercised by the reporting person as reported herein vested on January 24, 2020 and January 24, 2021.