Initial Statement of Beneficial Ownership (3)

Date : 11/09/2018 @ 5:21PM
Source : Edgar (US Regulatory)
Stock : Alcoa Corp. (AA)
Quote : 33.97  -0.39 (-1.14%) @ 3:01PM

Initial Statement of Beneficial Ownership (3)

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

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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OMB Number: 3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Dixon Garret J.

2. Date of Event Requiring Statement (MM/DD/YYYY)
11/1/2018 

3. Issuer Name and Ticker or Trading Symbol

Alcoa Corp [AA]

(Last)        (First)        (Middle)

201 ISABELLA STREET, SUITE 500

4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                            _____ 10% Owner
___ X ___ Officer (give title below)          _____ Other (specify below)
President, Bauxite segment /

(Street)

PITTSBURGH, PA 15212-5858       

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed (MM/DD/YYYY)

 

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, par value $0.01 per share   15545   D    

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security 5. Ownership Form of Derivative Security: 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)   (2) 1/19/2026   Common Stock   17735   $15.10   D    

Explanation of Responses:
(1)  Resulted from the conversion of stock option awards issued by Alcoa Inc. ("Former Parent Company") pursuant to the employee matters agreement between Alcoa Corporation and the Former Parent Company in connection with the separation of Alcoa Corporation from the Former Parent Company effective November 1, 2016.
(2)  The option vests in three equal annual installments beginning January 19, 2017.

Remarks:
Exhibit List

Exhibit 24 - Power of Attorney - Garret J. Dixon

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Dixon Garret J.
201 ISABELLA STREET
SUITE 500
PITTSBURGH, PA 15212-5858


President, Bauxite segment

Signatures
/s/ Marissa P. Earnest, attorney-in-fact for Garret J. Dixon 11/9/2018
** 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.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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