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Howmet Aerospace Inc. — Director's Dealing 2016
Oct 17, 2016
29914_dirs_2016-10-17_6c33b1f1-483e-43fe-86b4-6fe9dc432d0b.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ALCOA INC. (AA)
CIK: 0000004281
Period of Report: 2016-10-13
Reporting Person: MYERS TIMOTHY DONALD (Executive Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-10-13 | Common Stock | I | 6854 | $26.57 | Acquired | 8501 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-10-13 | Phantom Stock | $ | A | 6201 | Acquired | Common Stock (6201) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 21396 | Direct |
Footnotes
F1: On October 5, 2016, Alcoa Inc effected a 1-for-3 reverse stock split of its common stock. The amount of securities reported on this Form 4 have been adjusted to reflect the reverse stock split.
F2: Each phantom stock unit is the economic equivalent of one share of Alcoa common stock.
F3: Phantom stock units were acquired under the Alcoa 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.