Initial Statement of Beneficial Ownership (3)
November 09 2018 - 5:39PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
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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
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1. Name and Address of Reporting Person
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Reyes Timothy D.
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2. Date of Event Requiring Statement (MM/DD/YYYY)
11/1/2018
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3. Issuer Name
and
Ticker or Trading Symbol
Alcoa Corp [AA]
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(Last)
(First)
(Middle)
201 ISABELLA STREET, SUITE 500
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
President, Aluminum segment /
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(Street)
PITTSBURGH, PA 15212-5858
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock, par value $0.01 per share
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28125
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D
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Common Stock, par value $0.01 per share
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594
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I
(1)
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By Company 401(k) Plan
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Stock Option (right to buy)
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(2)
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2/2/2027
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Common Stock
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7390
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$37.68
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D
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Employee Stock Option (right to buy)
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(3)
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1/24/2028
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Common Stock
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7280
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$53.30
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D
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Phantom Stock Units
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(4)
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(4)
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Common Stock
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75
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(5)
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D
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Explanation of Responses:
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(1)
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Fluctuations in 401(k) share amounts reflect the plan's unit reporting method; units represent interests in the Company's stock fund.
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(2)
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The option vests in three equal annual installments beginning February 2, 2018.
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(3)
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The option vests in three equal annual installments beginning January 24, 2019.
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(4)
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Phantom stock units, acquired under the Alcoa USA Corp. Deferred Compensation Plan (the "Plan"), are to be paid out in cash after termination of employment. The reporting person may transfer the phantom stock units into an alternative investment account under the Plan at times permitted under the Plan.
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(5)
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Each phantom stock unit is the economic equivalent of one share of Alcoa Corporation common stock.
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Remarks:
Exhibit List
Exhibit 24 - Power of Attorney - Timothy D. Reyes
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Reyes Timothy D.
201 ISABELLA STREET
SUITE 500
PITTSBURGH, PA 15212-5858
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President, Aluminum segment
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Signatures
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/s/ Marissa P. Earnest, attorney-in-fact for Timothy D. Reyes
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11/9/2018
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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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