Form 4 for AA Alcoa Corp
Accepted 2021-11-18 00:00:00 ET · period of report 2021-11-16 · accession 0001209191-21-065483 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-11-18 | 2021-11-16 | AA | Oplinger William F | EVP, CFO | M - OptEx | $28.28 | +74.2K | 207.8K | +56% | +$2.10M |
| D | 2021-11-18 | 2021-11-16 | AA | Oplinger William F | EVP, CFO | S - Sale+OE | $48.40 | -166.4K | 93.2K | -64% | -$8.05M |
| DM | 2021-11-18 | 2021-11-16 | AA | Oplinger William F | EVP, CFO | M - OptEx | $0.00 | -74.2K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock, par value $0.01 per share | 2021-11-16 | M | A | 19,613 | $27.96 | 259,559 | D | — | — | |
| 2 | Common | Common Stock, par value $0.01 per share | 2021-11-16 | M | A | 32,130 | $37.68 | 239,946 | D | — | — | |
| 3 | Common | Common Stock, par value $0.01 per share | 2021-11-16 | M | A | 22,466 | $15.10 | 207,816 | D | — | — | |
| 4 | Common | Common Stock, par value $0.01 per share | 2021-11-16 | S | D | 166,369 | $48.40 | 93,190 | D | — | — | (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. |
| 5 | Derivative | Employee Stock Option (right to buy) | 2021-11-16 | M | D | 19,613 | $0.00 | 9,807 | D | $27.96 · 2020-01-24 to 2029-01-24 | 19,613 Common Stock | (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. |
| 6 | Derivative | Employee Stock Option (right to buy) | 2021-11-16 | M | D | 32,130 | $0.00 | 0 | D | $37.68 · 2018-02-02 to 2027-02-02 | 32,130 Common Stock | (F3) This option vested in equal installments over three years beginning on the date shown. |
| 7 | Derivative | Employee Stock Option (right to buy) | 2021-11-16 | M | D | 22,466 | $0.00 | 0 | D | $15.10 · 2017-01-19 to 2026-01-19 | 22,466 Common Stock | (F3) This option vested in equal installments over three years beginning on the date shown. |