HWM

SEC source: 0001104659-21-034445 · tm219341d1_4seq1.xml · nonDerivative · entry 2

PLANT JOHN C · CIK 0001136562 · Director · Chairman and Co-CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 841,899

F2 · shares: Represents payment of tax liability by delivering or withholding shares incident to the vesting of a stock award issued in accordance with Rule 16b-3.

SEC source: 0001104659-21-034445 · tm219341d1_4seq1.xml · nonDerivative · entry 1

PLANT JOHN C · CIK 0001136562 · Director · Chairman and Co-CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 868,113

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.

F1 · price: Each restricted stock unit converted into common stock on a one-for-one basis.

SEC source: 0001104659-21-030744 · tm218486d1_4seq1.xml · derivative · entry 1

Oal Tolga I · CIK 0001653964 · Director · Co-Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,695

Underlying: Common Stock · 801 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the equivalent of one share of Howmet Aerospace common stock

F2 · derivative.exercise_date: Phantom stock units were acquired under the Howmet Aerospace Deferred Compensation Plan and are to be paid out in cash at the 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.

F2 · derivative.expiration_date: Phantom stock units were acquired under the Howmet Aerospace Deferred Compensation Plan and are to be paid out in cash at the 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.

SEC source: 0000004281-21-000045 · edgar.xml · derivative · entry 1

Oal Tolga I · CIK 0001653964 · Director · Co-Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,922

Underlying: Common Stock · 265 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the equivalent of one share of Howmet Aerospace common stock

F2 · derivative.exercise_date: Phantom stock units were acquired under the Howmet Aerospace Deferred Compensation Plan and are to be paid out in cash at the 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.

F2 · derivative.expiration_date: Phantom stock units were acquired under the Howmet Aerospace Deferred Compensation Plan and are to be paid out in cash at the 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.

SEC source: 0000004281-21-000029 · edgar.xml · nonDerivative · entry 1

Ramundo Katherine H · CIK 0001509955 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,192

F1 · shares: Represents payment of tax liability by delivering or withholding shares incident to the vesting of a stock award issued in accordance with Rule 16b-3.

SEC source: 0000004281-21-000027 · edgar.xml · nonDerivative · entry 1

Giacobbe Ken · CIK 0001688603 · CFO and Executive VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 236,479

F1 · shares: Represents payment of tax liability by delivering or withholding shares incident to the vesting of stock award issued in accordance with Rule 16b-3.

SEC source: 0000004281-21-000026 · edgar.xml · nonDerivative · entry 1

Ramundo Katherine H · CIK 0001509955 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,192

F1 · shares: Represents payment of tax liability by delivering or withholding shares incident to the vesting of a stock award issued in accordance with Rule 16b-3.

SEC source: 0000004281-21-000022 · edgar.xml · nonDerivative · entry 1

Myron W Paul · CIK 0001688216 · Vice President and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,115

F1 · shares: Represents payment of tax liability by delivering or withholding shares incident to the vesting of a stock award issued in accordance with Rule 16b-3.

SEC source: 0000004281-21-000008 · edgar.xml · nonDerivative · entry 1

Alving Amy E · CIK 0001490905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,691

SEC source: 0000004281-21-000006 · edgar.xml · nonDerivative · entry 1

CANTIE JOSEPH S · CIK 0001275621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,236

SEC source: 0000004281-21-000010 · edgar.xml · nonDerivative · entry 1

Alving Amy E · CIK 0001490905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,220

F1 · balance_after: This Form 4 is being amended to correct an inadvertent error on the amount of securities beneficially owned following the reported transaction.

SEC source: 0000004281-21-000002 · edgar.xml · derivative · entry 1

Oal Tolga I · CIK 0001653964 · Director · Co-Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,640

Underlying: Common Stock · 384 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the equivalent of one share of Howmet Aerospace common stock

F2 · derivative.exercise_date: Phantom stock unites were acquired under the Howmet Aerospace Deferred Compensation Plan and are to be paid out in cash at the 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.

F2 · derivative.expiration_date: Phantom stock unites were acquired under the Howmet Aerospace Deferred Compensation Plan and are to be paid out in cash at the 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.

SEC source: 0000004281-20-000189 · edgar.xml · derivative · entry 4

PLANT JOHN C · CIK 0001136562 · Director · Chairman and Co-CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,645,833

Underlying: Common Stock · 60,833 shares

Expires not disclosed

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.

F4 · security: These restricted stock units vested on December 17, 2020, upon satisfaction of the conditions that an Average Price (as defined in the Letter Agreement by and between Howmet Aerospace and Mr. Plant, dated as of August 1, 2019 and, to take into account the separation of the Howmet Aerospace, as set forth in the Employee Matters Agreement, dated as of March 31, 2020, by and between Howmet Aerospace and Arconic Corporation) of $34 per share is achieved, and the continued employment of Mr. Plant as Chief Executive Officer of Howmet through such date.

F1 · derivative.exercise_price: Each restricted stock unit converted into common stock on a one-for-one basis.

F4 · derivative.exercise_date: These restricted stock units vested on December 17, 2020, upon satisfaction of the conditions that an Average Price (as defined in the Letter Agreement by and between Howmet Aerospace and Mr. Plant, dated as of August 1, 2019 and, to take into account the separation of the Howmet Aerospace, as set forth in the Employee Matters Agreement, dated as of March 31, 2020, by and between Howmet Aerospace and Arconic Corporation) of $34 per share is achieved, and the continued employment of Mr. Plant as Chief Executive Officer of Howmet through such date.

F4 · derivative.expiration_date: These restricted stock units vested on December 17, 2020, upon satisfaction of the conditions that an Average Price (as defined in the Letter Agreement by and between Howmet Aerospace and Mr. Plant, dated as of August 1, 2019 and, to take into account the separation of the Howmet Aerospace, as set forth in the Employee Matters Agreement, dated as of March 31, 2020, by and between Howmet Aerospace and Arconic Corporation) of $34 per share is achieved, and the continued employment of Mr. Plant as Chief Executive Officer of Howmet through such date.

SEC source: 0000004281-20-000189 · edgar.xml · nonDerivative · entry 2

PLANT JOHN C · CIK 0001136562 · Director · Chairman and Co-CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 807,280

F2 · shares: Represents payment of tax liability by delivering or withholding shares incident to the vesting of a stock award issued in accordance with Rule 16b-3.

SEC source: 0000004281-20-000189 · edgar.xml · nonDerivative · entry 1

PLANT JOHN C · CIK 0001136562 · Director · Chairman and Co-CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 833,173

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.

F1 · price: Each restricted stock unit converted into common stock on a one-for-one basis.

SEC source: 0000004281-20-000187 · edgar.xml · derivative · entry 1

Oal Tolga I · CIK 0001653964 · Director · Co-Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,278

Underlying: Common Stock · 456 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the equivalent of one share of Howmet Aerospace common stock.

F2 · derivative.exercise_date: Phantom stock units were acquired under the Howmet Aerospace Deferred Compensation Plan and are to be paid out in cash at the 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.

F2 · derivative.expiration_date: Phantom stock units were acquired under the Howmet Aerospace Deferred Compensation Plan and are to be paid out in cash at the 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.

SEC source: 0000004281-20-000181 · edgar.xml · derivative · entry 1

Oal Tolga I · CIK 0001653964 · Director · Co-Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,871

Underlying: Common Stock · 640 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Howmet Aerospace common stock.

F2 · derivative.exercise_date: Phantom stock units were acquired under the Howmet Aerospace Deferred Compensation Plan and are to be paid out in cash at 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.

F2 · derivative.expiration_date: Phantom stock units were acquired under the Howmet Aerospace Deferred Compensation Plan and are to be paid out in cash at 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.

SEC source: 0000004281-20-000179 · edgar.xml · nonDerivative · entry 1

Alving Amy E · CIK 0001490905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,482

SEC source: 0000004281-20-000177 · edgar.xml · nonDerivative · entry 1

CANTIE JOSEPH S · CIK 0001275621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,162

SEC source: 0000004281-20-000172 · edgar.xml · derivative · entry 1

Oal Tolga I · CIK 0001653964 · Director · Co-Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,232

Underlying: Common Stock · 644 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Howmet Aerospace common stock.

F2 · derivative.exercise_date: Phantom stock units were acquired under the Howmet Aerospace Deferred Compensation Plan and are to be paid out in cash at terminiation of employment. The reporting person may transfer the phantom stock into an alternative investment account under the plan at times permitted under the plan.

F2 · derivative.expiration_date: Phantom stock units were acquired under the Howmet Aerospace Deferred Compensation Plan and are to be paid out in cash at terminiation of employment. The reporting person may transfer the phantom stock into an alternative investment account under the plan at times permitted under the plan.

SEC source: 0000004281-20-000170 · edgar.xml · derivative · entry 1

Oal Tolga I · CIK 0001653964 · Director · Co-Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,587

Underlying: Common Stock · 619 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Howmet Aerospace common stock.

F2 · derivative.exercise_date: Phantom stock units were acquired under the Howmet Aerospace Deferred Compensation Plan and are to be paid out in cash at 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.

F2 · derivative.expiration_date: Phantom stock units were acquired under the Howmet Aerospace Deferred Compensation Plan and are to be paid out in cash at 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.

SEC source: 0000004281-20-000165 · edgar.xml · derivative · entry 6

PLANT JOHN C · CIK 0001136562 · Director · Chairman and Co-CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,706,666

Underlying: Common Stock · 60,833 shares

Expires not disclosed

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.

F6 · security: These restricted stock units vested on August 6, 2020, upon satisfaction of the conditions that Howmet's common stock achieve an Average Price (as defined in the Letter Agreement and, to take into account the separation of the Company, as set forth in the Employee Matters Agreement, dated as of March 31, 2020, by and between Howmet and Arconic Corporation ) of $32 per share, and the continued employment of Mr. Plant as Chief Executive Officer of Howmet through such date.

F1 · derivative.exercise_price: Each restricted stock unit converted into common stock on a one-for-one basis.

F6 · derivative.exercise_date: These restricted stock units vested on August 6, 2020, upon satisfaction of the conditions that Howmet's common stock achieve an Average Price (as defined in the Letter Agreement and, to take into account the separation of the Company, as set forth in the Employee Matters Agreement, dated as of March 31, 2020, by and between Howmet and Arconic Corporation ) of $32 per share, and the continued employment of Mr. Plant as Chief Executive Officer of Howmet through such date.

F6 · derivative.expiration_date: These restricted stock units vested on August 6, 2020, upon satisfaction of the conditions that Howmet's common stock achieve an Average Price (as defined in the Letter Agreement and, to take into account the separation of the Company, as set forth in the Employee Matters Agreement, dated as of March 31, 2020, by and between Howmet and Arconic Corporation ) of $32 per share, and the continued employment of Mr. Plant as Chief Executive Officer of Howmet through such date.

SEC source: 0000004281-20-000165 · edgar.xml · derivative · entry 5

PLANT JOHN C · CIK 0001136562 · Director · Chairman and Co-CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,767,499

Underlying: Common Stock · 60,833 shares

Expires not disclosed

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.

F5 · security: These restricted stock units vested on August 6, 2020, upon satisfaction of the conditions that the Spinoff Date (as defined in the Letter Agreement, by and between Howmet and Mr. Plant, dated as of August 1, 2019 (the Letter Agreement) has occurred prior to August 6, 2020, and the continued employment of Mr. Plant as Chief Executive Officer of Howmet through such date.

F1 · derivative.exercise_price: Each restricted stock unit converted into common stock on a one-for-one basis.

F5 · derivative.exercise_date: These restricted stock units vested on August 6, 2020, upon satisfaction of the conditions that the Spinoff Date (as defined in the Letter Agreement, by and between Howmet and Mr. Plant, dated as of August 1, 2019 (the Letter Agreement) has occurred prior to August 6, 2020, and the continued employment of Mr. Plant as Chief Executive Officer of Howmet through such date.

F5 · derivative.expiration_date: These restricted stock units vested on August 6, 2020, upon satisfaction of the conditions that the Spinoff Date (as defined in the Letter Agreement, by and between Howmet and Mr. Plant, dated as of August 1, 2019 (the Letter Agreement) has occurred prior to August 6, 2020, and the continued employment of Mr. Plant as Chief Executive Officer of Howmet through such date.

SEC source: 0000004281-20-000165 · edgar.xml · derivative · entry 4

PLANT JOHN C · CIK 0001136562 · Director · Chairman and Co-CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,828,332

Underlying: Common Stock · 486,666 shares

Expires not disclosed

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.

F4 · security: These restricted stock units vested on August 6, 2020, upon satisfaction of the condition of the continued employment of Mr. Plant as Chief Executive Officer of Howmet Aerospace Inc. (Howmet) through such date.

F1 · derivative.exercise_price: Each restricted stock unit converted into common stock on a one-for-one basis.

F4 · derivative.exercise_date: These restricted stock units vested on August 6, 2020, upon satisfaction of the condition of the continued employment of Mr. Plant as Chief Executive Officer of Howmet Aerospace Inc. (Howmet) through such date.

F4 · derivative.expiration_date: These restricted stock units vested on August 6, 2020, upon satisfaction of the condition of the continued employment of Mr. Plant as Chief Executive Officer of Howmet Aerospace Inc. (Howmet) through such date.

SEC source: 0000004281-20-000165 · edgar.xml · nonDerivative · entry 2

PLANT JOHN C · CIK 0001136562 · Director · Chairman and Co-CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 772,340

F2 · shares: Represents payment of tax liability by delivering or withholding shares incident to the vesting of a stock award issued in accordance with Rule 16b-3.

SEC source: 0000004281-20-000165 · edgar.xml · nonDerivative · entry 1

PLANT JOHN C · CIK 0001136562 · Director · Chairman and Co-CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,028,600

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.

F1 · price: Each restricted stock unit converted into common stock on a one-for-one basis.

SEC source: 0000004281-20-000167 · edgar.xml · nonDerivative · entry 1

PLANT JOHN C · CIK 0001136562 · Director · Chairman and Co-CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,028,600

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.

F1 · price: Each restricted stock unit converted into common stock on a one-for-one basis.

F2 · price: On August 10, 2020, the reporting person filed a Form 4 which inadvertently reported that the conversion of his restricted stock units into common stock had a price of $17.28. In fact, as reported in this amendment, the reporting person did not pay cash for the shares of common stock since such shares were converted on a one-for-one basis from restricted stock units.

SEC source: 0000004281-20-000153 · edgar.xml · derivative · entry 1

Oal Tolga I · CIK 0001653964 · Director · Co-Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,990

Underlying: Common Stock · 738 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Howmet Aerospace common stock.

F2 · derivative.exercise_date: Phantom stock units were acquired under the Howmet Aerospace 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.

F2 · derivative.expiration_date: Phantom stock units were acquired under the Howmet Aerospace 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.

SEC source: 0000004281-20-000151 · edgar.xml · nonDerivative · entry 1

Alving Amy E · CIK 0001490905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,595

SEC source: 0000004281-20-000149 · edgar.xml · nonDerivative · entry 1

CANTIE JOSEPH S · CIK 0001275621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,485

SEC source: 0000004281-20-000147 · edgar.xml · derivative · entry 1

Oal Tolga I · CIK 0001653964 · Director · Co-Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,246

Underlying: Common Stock · 546 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Howmet Aerospace common stock.

F2 · derivative.exercise_date: Phantom stock units were acquired under the Howmet Aerospace 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.

F2 · derivative.expiration_date: Phantom stock units were acquired under the Howmet Aerospace 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.

SEC source: 0000004281-20-000145 · edgar.xml · nonDerivative · entry 1

SCHMIDT ULRICH · CIK 0001142262 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,961

F1 · balance_after: On April 1, 2020, Arconic Inc. completed the separation of its business into two independent, publicly-traded companies (the Separation): Howmet Aerospace Inc. and Arconic Corporation. This amount reflects the total number of Howmet Aerospace Inc. shares underlying equity awards held by the reporting person after reflecting the adjustment of all Arconic Inc. equity awards held by the reporting person as of the Separation to relate to Howmet Aerospace Inc. common stock in a manner intended to preserve the aggregate intrinsic value of the original awards, in accordance with the Employee Matters Agreement, as amended, between Howmet Aerospace Inc. and Arconic Corporation.

SEC source: 0000004281-20-000143 · edgar.xml · nonDerivative · entry 1

PIASECKI NICOLE WEYERHAEUSER · CIK 0001183850 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,486

SEC source: 0000004281-20-000141 · edgar.xml · nonDerivative · entry 1

Miller Jody · CIK 0001325501 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,486

SEC source: 0000004281-20-000139 · edgar.xml · nonDerivative · entry 1

Miller David J · CIK 0001447777 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,725

F1 · balance_after: On April 1, 2020, Arconic Inc. completed the separation of its business into two independent, publicly-traded companies (the Separation): Howmet Aerospace Inc. and Arconic Corporation. This amount reflects the total number of Howmet Aerospace Inc. shares underlying equity awards held by the reporting person after reflecting the adjustment of all Arconic Inc. equity awards held by the reporting person as of the Separation to relate to Howmet Aerospace Inc. common stock in a manner intended to preserve the aggregate intrinsic value of the original awards, in accordance with the Employee Matters Agreement, as amended, between Howmet Aerospace Inc. and Arconic Corporation.

SEC source: 0000004281-20-000137 · edgar.xml · nonDerivative · entry 1

LEDUC ROBERT F · CIK 0001184190 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,486

SEC source: 0000004281-20-000135 · edgar.xml · nonDerivative · entry 1

CANTIE JOSEPH S · CIK 0001275621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,526

SEC source: 0000004281-20-000133 · edgar.xml · nonDerivative · entry 1

Alving Amy E · CIK 0001490905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,391

SEC source: 0000004281-20-000131 · edgar.xml · nonDerivative · entry 1

ALBAUGH JAMES F · CIK 0001182045 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,842

F1 · balance_after: On April 1, 2020, Arconic Inc. completed the separation of its business into two independent, publicly-traded companies (the Separation): Howmet Aerospace Inc. and Arconic Corporation. This amount reflects the total number of Howmet Aerospace Inc. shares underlying equity awards held by the reporting person after reflecting the adjustment of all Arconic Inc. equity awards held by the reporting person as of the Separation to relate to Howmet Aerospace Inc. common stock in a manner intended to preserve the aggregate intrinsic value of the original awards, in accordance with the Employee Matters Agreement, as amended, between Howmet Aerospace Inc. and Arconic Corporation.

SEC source: 0000004281-20-000129 · edgar.xml · derivative · entry 2

PLANT JOHN C · CIK 0001136562 · Director · Co-Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,314,998

Underlying: Common Stock · 300,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock of Howmet Aerospace Inc. (Howmet) or, at the election of Howmet, cash equivalent to the fair market value thereof.

F3 · date: On June 9, 2020, the award granted to the Reporting Person on April 2, 2020 was amended to increase the number of performance-vesting restricted stock units subject to the award from 1,800,000 to 2,100,000 and to modify the stock price targets applicable to all performance-vesting restricted stock units subject to the award.

F5 · derivative.exercise_date: These restricted stock units vest in full or in part on March 31, 2023, and are contingent on Mr. Plant's continued service as Co-Chief Executive Officer through such date and the achievement of certain performance goals relating to Howmet stock price and subject to partial or full accelerated vesting upon the occurrence of certain events. Vested restricted stock units will be settled in shares or cash, as applicable, within 30 days following the vesting date.

F5 · derivative.expiration_date: These restricted stock units vest in full or in part on March 31, 2023, and are contingent on Mr. Plant's continued service as Co-Chief Executive Officer through such date and the achievement of certain performance goals relating to Howmet stock price and subject to partial or full accelerated vesting upon the occurrence of certain events. Vested restricted stock units will be settled in shares or cash, as applicable, within 30 days following the vesting date.

SEC source: 0000004281-20-000129 · edgar.xml · derivative · entry 1

PLANT JOHN C · CIK 0001136562 · Director · Co-Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,014,998

Underlying: Common Stock · 485,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock of Howmet Aerospace Inc. (Howmet) or, at the election of Howmet, cash equivalent to the fair market value thereof.

F2 · date: On June 9, 2020, the award granted to the Reporting Person on April 2, 2020 was amended to increase the number of time-vesting restricted stock units subject to the award from 1,000,000 to 1,485,000.

F4 · derivative.exercise_date: The restricted stock units will vest in three equal installments on June 9, 2021, March 31, 2022 and March 31, 2023, respectively, and subject to the continued employment of the Reporting Person through the applicable vesting date, subject to partial or full accelerated vesting upon the occurrence of certain events. Vested restricted stock units will be settled in shares or cash, as applicable, within 30 days following the vesting date.

F4 · derivative.expiration_date: The restricted stock units will vest in three equal installments on June 9, 2021, March 31, 2022 and March 31, 2023, respectively, and subject to the continued employment of the Reporting Person through the applicable vesting date, subject to partial or full accelerated vesting upon the occurrence of certain events. Vested restricted stock units will be settled in shares or cash, as applicable, within 30 days following the vesting date.

SEC source: 0000004281-20-000124 · edgar.xml · derivative · entry 1

Oal Tolga I · CIK 0001653964 · Director · Co-Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,968

Underlying: Common Stock · 666 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Howmet Aerospace common stock.

F2 · derivative.exercise_date: Phantom stock units were acquired under the Howmet Aerospace 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.

F2 · derivative.expiration_date: Phantom stock units were acquired under the Howmet Aerospace 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.

SEC source: 0000004281-20-000122 · edgar.xml · nonDerivative · entry 1

Oal Tolga I · CIK 0001653964 · Director · Co-Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 229,678

F1 · shares: Represents payment of tax liability by delivering or withholding shares incident to the vesting of a stock award issued in accordance with Rule 16b-3.

SEC source: 0000004281-20-000118 · edgar.xml · nonDerivative · entry 1

Ramundo Katherine H · CIK 0001509955 · CLO and Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,510

SEC source: 0000004281-20-000119 · edgar.xml · nonDerivative · entry 1

Marchuk Neil Edward · CIK 0001301291 · EVP, HR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 204,158

SEC source: 0000004281-20-000117 · edgar.xml · nonDerivative · entry 1

Myron W Paul · CIK 0001688216 · Vice President and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,738

SEC source: 0000004281-20-000116 · edgar.xml · nonDerivative · entry 1

Oal Tolga I · CIK 0001653964 · Director · Co-Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 242,873

SEC source: 0000004281-20-000115 · edgar.xml · nonDerivative · entry 1

Giacobbe Ken · CIK 0001688603 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 253,219

SEC source: 0000004281-20-000107 · edgar.xml · derivative · entry 1

Oal Tolga I · CIK 0001653964 · Director · Co-Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,046

Underlying: Common Stock · 661 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Howmet Aerospace common stock.

F2 · derivative.exercise_date: Phantom stock units were acquired under the Howmet Aerospace 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.

F2 · derivative.expiration_date: Phantom stock units were acquired under the Howmet Aerospace 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.

SEC source: 0000004281-20-000100 · edgar.xml · nonDerivative · entry 1

Marchuk Neil Edward · CIK 0001301291 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,555

F1 · shares: Represents payment of tax liability by delivering or withholding shares incident to the vesting of a stock award issued in accordance with Rule 16b-3.

F2 · balance_after: On April 1, 2020, Arconic Inc. completed the separation of its business into two independent, publicly-traded companies (the Separation): Howmet Aerospace Inc. and Arconic Corporation. This Form 4 reflects the total number of Howmet Aerospace Inc. shares underlying equity awards held by the reporting person after reflecting the adjustment of all Arconic Inc. equity awards held by the reporting person as of the Separation to relate to Howmet Aerospace Inc. common stock in a manner intended to preserve the aggregate intrinsic value of the original awards, in accordance with the Employee Matters Agreement, as amended, between Howmet Aerospace Inc. and Arconic Corporation.