AA

SEC source: 0001675149-17-000013 · edgar.xml · nonDerivative · entry 1

Fisher Leigh Ann · CIK 0001687193 · Exec VP and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,200

F1 · shares: Award of restricted stock units (RSUs), which are settled in stock upon vesting, generally on the third anniversary of the date of the grant.

SEC source: 0001675149-17-000012 · edgar.xml · derivative · entry 7

Harvey Roy Christopher · CIK 0001612161 · Director · Chief Exec Officer & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,360

Underlying: Common Stock · 88,360 shares

Expires 2027-02-02

F5 · derivative.exercise_date: The option vests in three equal annual installments beginning February 2, 2018.

SEC source: 0001675149-17-000012 · edgar.xml · nonDerivative · entry 5

Harvey Roy Christopher · CIK 0001612161 · Director · Chief Exec Officer & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,600

F3 · shares: Represents payment of tax liability by withholding shares incident to the vesting of a performance restricted stock unit award granted in 2014.

SEC source: 0001675149-17-000012 · edgar.xml · nonDerivative · entry 4

Harvey Roy Christopher · CIK 0001612161 · Director · Chief Exec Officer & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,177

F2 · shares: Earned 2016 tranche of performance restricted stock unit awards.

SEC source: 0001675149-17-000012 · edgar.xml · nonDerivative · entry 3

Harvey Roy Christopher · CIK 0001612161 · Director · Chief Exec Officer & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,525

F2 · shares: Earned 2016 tranche of performance restricted stock unit awards.

SEC source: 0001675149-17-000012 · edgar.xml · nonDerivative · entry 2

Harvey Roy Christopher · CIK 0001612161 · Director · Chief Exec Officer & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,089

F2 · shares: Earned 2016 tranche of performance restricted stock unit awards.

SEC source: 0001675149-17-000012 · edgar.xml · nonDerivative · entry 1

Harvey Roy Christopher · CIK 0001612161 · Director · Chief Exec Officer & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,980

F1 · shares: Award of restricted stock units (RSUs), which are settled in stock upon vesting, generally on the third anniversary of the date of the grant.

SEC source: 0001675149-17-000015 · edgar.xml · derivative · entry 7

Oplinger William F · CIK 0001573449 · Executive VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,130

Underlying: Common Stock · 32,130 shares

Expires 2027-02-02

F5 · derivative.exercise_date: The option vests in three equal annual installments beginning February 2, 2018.

SEC source: 0001675149-17-000015 · edgar.xml · nonDerivative · entry 5

Oplinger William F · CIK 0001573449 · Executive VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,111

F3 · shares: Represents payment of tax liability by withholding shares incident to the vesting of a performance restricted stock unit award granted in 2014.

SEC source: 0001675149-17-000015 · edgar.xml · nonDerivative · entry 4

Oplinger William F · CIK 0001573449 · Executive VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,671

F2 · shares: Earned 2016 tranche of performance restricted stock unit awards.

SEC source: 0001675149-17-000015 · edgar.xml · nonDerivative · entry 3

Oplinger William F · CIK 0001573449 · Executive VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,852

F2 · shares: Earned 2016 tranche of performance restricted stock unit awards.

SEC source: 0001675149-17-000015 · edgar.xml · nonDerivative · entry 2

Oplinger William F · CIK 0001573449 · Executive VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,402

F2 · shares: Earned 2016 tranche of performance restricted stock unit awards.

SEC source: 0001675149-17-000015 · edgar.xml · nonDerivative · entry 1

Oplinger William F · CIK 0001573449 · Executive VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,155

F1 · shares: Award of restricted stock units (RSUs), which are settled in stock upon vesting, generally on the third anniversary of the date of the grant.

SEC source: 0001675149-17-000009 · edgar.xml · nonDerivative · entry 1

Sigurdsson Tomas Mar · CIK 0001687322 · Exec VP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,501

F1 · shares: Represents payment of tax liability by delivering or withholding shares incident to the vesting of a restricted stock award.

SEC source: 0001675149-17-000007 · edgar.xml · nonDerivative · entry 1

Fisher Leigh Ann · CIK 0001687193 · Exec VP and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,550

F1 · shares: Represents payment of tax liability by delivering or withholding shares incident to the vesting of a restricted stock award.

SEC source: 0001675149-17-000008 · edgar.xml · nonDerivative · entry 1

Heeter Jeffrey D. · CIK 0001686245 · EVP, Gen. Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,161

F1 · shares: Represents payment of tax liability by delivering or withholding shares incident to the vesting of a restricted stock award.

SEC source: 0001675149-16-000102 · edgar.xml · nonDerivative · entry 1

OWENS JAMES W · CIK 0001171767 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,189

SEC source: 0001675149-16-000105 · edgar.xml · nonDerivative · entry 1

Williams Steven W · CIK 0001688822 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,078

SEC source: 0001675149-16-000099 · edgar.xml · nonDerivative · entry 1

HUGHES JAMES ALTON · CIK 0001258525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,078

SEC source: 0001675149-16-000106 · edgar.xml · nonDerivative · entry 1

ZEDILLO ERNESTO · CIK 0001184003 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,078

SEC source: 0001675149-16-000098 · edgar.xml · nonDerivative · entry 1

FULLER KATHRYN S · CIK 0001183997 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,078

SEC source: 0001675149-16-000100 · edgar.xml · nonDerivative · entry 1

MORRIS MICHAEL G · CIK 0001192346 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,424

SEC source: 0001675149-16-000101 · edgar.xml · nonDerivative · entry 1

Nevels James E · CIK 0001327751 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,111

SEC source: 0001675149-16-000096 · edgar.xml · nonDerivative · entry 1

Citrino Mary Anne · CIK 0001334494 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,078

SEC source: 0001675149-16-000103 · edgar.xml · nonDerivative · entry 1

Roberts Carol L · CIK 0001341790 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,078

SEC source: 0001675149-16-000097 · edgar.xml · nonDerivative · entry 1

FLYNN TIMOTHY PATRICK · CIK 0001550322 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,078

SEC source: 0001675149-16-000104 · edgar.xml · nonDerivative · entry 1

Sitherwood Suzanne · CIK 0001526310 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,078

SEC source: 0001675149-16-000071 · edgar.xml · derivative · entry 11

Collins Robert Sean · CIK 0001590197 · Exec VP and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,164 shares

Expires 2022-01-20

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · security: Resulted from the conversion of Parent stock option awards, in connection with the Distribution pursuant to the terms of the Employee Matters Agreement.

F5 · price: Employee stock options are granted without payment of consideration.

F7 · derivative.exercise_date: This option vested in three equal annual installments beginning January 16, 2013.

SEC source: 0001675149-16-000071 · edgar.xml · derivative · entry 10

Collins Robert Sean · CIK 0001590197 · Exec VP and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,271 shares

Expires 2023-01-16

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · security: Resulted from the conversion of Parent stock option awards, in connection with the Distribution pursuant to the terms of the Employee Matters Agreement.

F5 · price: Employee stock options are granted without payment of consideration.

F6 · derivative.exercise_date: This option vested in three equal annual installments beginning January 16, 2014.

SEC source: 0001675149-16-000071 · edgar.xml · derivative · entry 9

Collins Robert Sean · CIK 0001590197 · Exec VP and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,006

Underlying: Common Stock · 4,012 shares

Expires 2024-01-16

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · security: Resulted from the conversion of Parent stock option awards, in connection with the Distribution pursuant to the terms of the Employee Matters Agreement.

F5 · price: Employee stock options are granted without payment of consideration.

F4 · derivative.exercise_date: This option is part of an option grant that vests in three equal annual installments beginning January 16, 2015. The installment exercised by the reporting person as reported herein vested on January 16, 2015 and January 16, 2016.

SEC source: 0001675149-16-000071 · edgar.xml · nonDerivative · entry 6

Collins Robert Sean · CIK 0001590197 · Exec VP and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,034

F1 · price: The price reported in column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $29.4350 to $29.7800. 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 purchased at each price within the range set forth in this footnote.

F2 · balance_after: Shares of Alcoa Corporation ("Alcoa") common stock were received by the reporting person pursuant to the distribution paid by Alcoa Inc. (now renamed Arconic Inc.) ("Arconic" or "Parent") on November 1, 2016, to Parent shareholders of record as of October 20, 2016 (the "Record Date"), of one share of Alcoa common stock for every three shares of Parent common stock held on the Record Date (the "Distribution"), pursuant to the separation and distribution agreement, dated October 31, 2016, between Alcoa and Parent. Also includes shares of common stock underlying awards resulting from the conversion of Parent equity awards in connection with the Distribution pursuant to the terms of the employee matters agreement, dated as of October 31, 2016, between Alcoa and Parent (the "Employee Matters Agreement").

SEC source: 0001675149-16-000071 · edgar.xml · nonDerivative · entry 5

Collins Robert Sean · CIK 0001590197 · Exec VP and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,198

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · balance_after: Shares of Alcoa Corporation ("Alcoa") common stock were received by the reporting person pursuant to the distribution paid by Alcoa Inc. (now renamed Arconic Inc.) ("Arconic" or "Parent") on November 1, 2016, to Parent shareholders of record as of October 20, 2016 (the "Record Date"), of one share of Alcoa common stock for every three shares of Parent common stock held on the Record Date (the "Distribution"), pursuant to the separation and distribution agreement, dated October 31, 2016, between Alcoa and Parent. Also includes shares of common stock underlying awards resulting from the conversion of Parent equity awards in connection with the Distribution pursuant to the terms of the employee matters agreement, dated as of October 31, 2016, between Alcoa and Parent (the "Employee Matters Agreement").

SEC source: 0001675149-16-000071 · edgar.xml · nonDerivative · entry 4

Collins Robert Sean · CIK 0001590197 · Exec VP and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,034

F1 · price: The price reported in column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $29.4350 to $29.7800. 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 purchased at each price within the range set forth in this footnote.

F2 · balance_after: Shares of Alcoa Corporation ("Alcoa") common stock were received by the reporting person pursuant to the distribution paid by Alcoa Inc. (now renamed Arconic Inc.) ("Arconic" or "Parent") on November 1, 2016, to Parent shareholders of record as of October 20, 2016 (the "Record Date"), of one share of Alcoa common stock for every three shares of Parent common stock held on the Record Date (the "Distribution"), pursuant to the separation and distribution agreement, dated October 31, 2016, between Alcoa and Parent. Also includes shares of common stock underlying awards resulting from the conversion of Parent equity awards in connection with the Distribution pursuant to the terms of the employee matters agreement, dated as of October 31, 2016, between Alcoa and Parent (the "Employee Matters Agreement").

SEC source: 0001675149-16-000071 · edgar.xml · nonDerivative · entry 3

Collins Robert Sean · CIK 0001590197 · Exec VP and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,305

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · balance_after: Shares of Alcoa Corporation ("Alcoa") common stock were received by the reporting person pursuant to the distribution paid by Alcoa Inc. (now renamed Arconic Inc.) ("Arconic" or "Parent") on November 1, 2016, to Parent shareholders of record as of October 20, 2016 (the "Record Date"), of one share of Alcoa common stock for every three shares of Parent common stock held on the Record Date (the "Distribution"), pursuant to the separation and distribution agreement, dated October 31, 2016, between Alcoa and Parent. Also includes shares of common stock underlying awards resulting from the conversion of Parent equity awards in connection with the Distribution pursuant to the terms of the employee matters agreement, dated as of October 31, 2016, between Alcoa and Parent (the "Employee Matters Agreement").

SEC source: 0001675149-16-000071 · edgar.xml · nonDerivative · entry 2

Collins Robert Sean · CIK 0001590197 · Exec VP and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,034

F1 · price: The price reported in column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $29.4350 to $29.7800. 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 purchased at each price within the range set forth in this footnote.

F2 · balance_after: Shares of Alcoa Corporation ("Alcoa") common stock were received by the reporting person pursuant to the distribution paid by Alcoa Inc. (now renamed Arconic Inc.) ("Arconic" or "Parent") on November 1, 2016, to Parent shareholders of record as of October 20, 2016 (the "Record Date"), of one share of Alcoa common stock for every three shares of Parent common stock held on the Record Date (the "Distribution"), pursuant to the separation and distribution agreement, dated October 31, 2016, between Alcoa and Parent. Also includes shares of common stock underlying awards resulting from the conversion of Parent equity awards in connection with the Distribution pursuant to the terms of the employee matters agreement, dated as of October 31, 2016, between Alcoa and Parent (the "Employee Matters Agreement").

SEC source: 0001675149-16-000071 · edgar.xml · nonDerivative · entry 1

Collins Robert Sean · CIK 0001590197 · Exec VP and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,046

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · balance_after: Shares of Alcoa Corporation ("Alcoa") common stock were received by the reporting person pursuant to the distribution paid by Alcoa Inc. (now renamed Arconic Inc.) ("Arconic" or "Parent") on November 1, 2016, to Parent shareholders of record as of October 20, 2016 (the "Record Date"), of one share of Alcoa common stock for every three shares of Parent common stock held on the Record Date (the "Distribution"), pursuant to the separation and distribution agreement, dated October 31, 2016, between Alcoa and Parent. Also includes shares of common stock underlying awards resulting from the conversion of Parent equity awards in connection with the Distribution pursuant to the terms of the employee matters agreement, dated as of October 31, 2016, between Alcoa and Parent (the "Employee Matters Agreement").

SEC source: 0001675149-16-000043 · edgar.xml · nonDerivative · entry 1

ALCOA INC. · CIK 0000004281 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,311,767

F1 · kind: The record date for the distribution by Alcoa Inc. of shares of Alcoa Upstream Corporation common stock to the holders of Alcoa Inc. common stock was at the close of business on October 20, 2016. The distribution of the Alcoa Upstream Corporation shares is scheduled to occur on November 1, 2016.

F1 · shares: The record date for the distribution by Alcoa Inc. of shares of Alcoa Upstream Corporation common stock to the holders of Alcoa Inc. common stock was at the close of business on October 20, 2016. The distribution of the Alcoa Upstream Corporation shares is scheduled to occur on November 1, 2016.

F2 · balance_after: Pursuant to its certificate of incorporation, as amended, Alcoa Upstream Corporation effected a stock split of its common stock, which became effective on October 20, 2016, the record date for the distribution of the Alcoa Upstream Corporation shares. Prior to the stock split, Alcoa Inc. owned 1,000 shares of Alcoa Upstream Corporation common stock and, as a result of the stock split, such shares of Alcoa Upstream Corporation common stock became 182,471,195 shares of Alcoa Upstream Corporation common stock.