Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Alcoa CorpAA · Entity 3397 | EVP & Gen. Counsel | January 27, 2023 | January 31, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Alcoa Corp
Report date January 27, 2023 · Filed January 31, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 37,840 |
Reported balance
After 2023-01-27 transaction · row 1
1 source rowRow 1 · 2023-01-27 · Sale · Disposed 40,130 · Balance 37,840 F1: The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $50.9800 - $51.4200. 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. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $50.9800 - $51.4200. 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 27, 2023 Filed Jan 31, 2023 07:58 UTC | Alcoa Corp AA · Entity 3397 | SaleCommon Stock, par value $0.01 per share | 40,130 | $51.21 | $2,055,057.30 |
DisclosureSEC source: 0001209191-23-005611 · doc4.xml · nonDerivative · entry 1 Heeter Jeffrey D. · CIK 0001686245 · EVP & Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,840 F1 · price: The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $50.9800 - $51.4200. 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. Read SEC document |
| January 25, 2023 Filed Jan 27, 2023 16:20 UTC | Alcoa Corp AA · Entity 3397 | SaleCommon Stock, par value $0.01 per share | 16,668 | $51.95 | $865,842.60 |
DisclosureSEC source: 0001209191-23-005241 · doc4.xml · nonDerivative · entry 4 Heeter Jeffrey D. · CIK 0001686245 · EVP & Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,970 F4 · price: The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $51.8000 - $52.2400. 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. Read SEC document |
| January 25, 2023 Filed Jan 27, 2023 16:20 UTC | Alcoa Corp AA · Entity 3397 | Tax withholdingCommon Stock, par value $0.01 per share | 25,740 | $52.19 | $1,343,370.60 |
DisclosureSEC source: 0001209191-23-005241 · doc4.xml · nonDerivative · entry 3 Heeter Jeffrey D. · CIK 0001686245 · EVP & Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,638 F3 · shares: Represents the withholding of shares by the issuer to satisfy the reporting person's tax obligations upon the vesting of PRSUs granted in 2020. Read SEC document |
| January 25, 2023 Filed Jan 27, 2023 16:20 UTC | Alcoa Corp AA · Entity 3397 | GrantCommon Stock, par value $0.01 per share | 65,870 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-005241 · doc4.xml · nonDerivative · entry 2 Heeter Jeffrey D. · CIK 0001686245 · EVP & Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,378 F2 · shares: Earned performance restricted stock units (PRSUs) granted in 2020. Read SEC document |
| January 25, 2023 Filed Jan 27, 2023 16:20 UTC | Alcoa Corp AA · Entity 3397 | GrantCommon Stock, par value $0.01 per share | 7,670 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-005241 · doc4.xml · nonDerivative · entry 1 Heeter Jeffrey D. · CIK 0001686245 · EVP & Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,508 F1 · shares: Award of restricted stock units, which are settled in stock upon vesting, generally on the third anniversary of the date of grant. Read SEC document |
| January 23, 2023 Filed Jan 25, 2023 16:28 UTC | Alcoa Corp AA · Entity 3397 | Tax withholdingCommon Stock, par value $0.01 per share | 7,892 | $51.75 | $408,411.00 |
DisclosureSEC source: 0001209191-23-004834 · doc4.xml · nonDerivative · entry 1 Heeter Jeffrey D. · CIK 0001686245 · EVP & Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,838 F1 · shares: Represents the withholding of shares by the issuer to satisfy the reporting person's tax obligations upon the vesting of restricted share units granted in 2020. Read SEC document |
| February 03, 2022 Filed Feb 4, 2022 16:22 UTC | Alcoa Corp AA · Entity 3397 | SaleCommon Stock, par value $0.01 per share | 17,696 | $60.56 | $1,071,671.53 |
DisclosureSEC source: 0001209191-22-007195 · doc4.xml · nonDerivative · entry 1 Heeter Jeffrey D. · CIK 0001686245 · EVP & Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,730 F1 · price: The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $60.4500 - $60.7100. 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. Read SEC document |
| January 26, 2022 Filed Jan 28, 2022 16:14 UTC | Alcoa Corp AA · Entity 3397 | SaleCommon Stock, par value $0.01 per share | 8,332 | $63.05 | $525,344.26 |
DisclosureSEC source: 0001209191-22-005377 · doc4.xml · nonDerivative · entry 4 Heeter Jeffrey D. · CIK 0001686245 · EVP & Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,426 F4 · price: The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $62.9200 - $63.1950. 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. Read SEC document |
| January 26, 2022 Filed Jan 28, 2022 16:14 UTC | Alcoa Corp AA · Entity 3397 | Tax withholdingCommon Stock, par value $0.01 per share | 13,421 | $60.75 | $815,325.75 |
DisclosureSEC source: 0001209191-22-005377 · doc4.xml · nonDerivative · entry 3 Heeter Jeffrey D. · CIK 0001686245 · EVP & Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,758 F3 · shares: Represents the withholding of shares by the issuer to satisfy the reporting person's tax obligations upon the vesting of PRSUs granted in 2019. Read SEC document |
| January 26, 2022 Filed Jan 28, 2022 16:14 UTC | Alcoa Corp AA · Entity 3397 | GrantCommon Stock, par value $0.01 per share | 31,117 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-005377 · doc4.xml · nonDerivative · entry 2 Heeter Jeffrey D. · CIK 0001686245 · EVP & Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,179 F2 · shares: Earned performance restricted stock units (PRSUs) granted in 2019. Read SEC document |
| January 26, 2022 Filed Jan 28, 2022 16:14 UTC | Alcoa Corp AA · Entity 3397 | GrantCommon Stock, par value $0.01 per share | 6,590 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-005377 · doc4.xml · nonDerivative · entry 1 Heeter Jeffrey D. · CIK 0001686245 · EVP & Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,062 F1 · shares: Award of restricted stock units, which are settled in stock upon vesting, generally on the third anniversary of the date of grant. Read SEC document |
| January 25, 2022 Filed Jan 26, 2022 16:16 UTC | Alcoa Corp AA · Entity 3397 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 6,130 | $27.96 Strike: $27.96 | $171,394.80 |
DisclosureSEC source: 0001209191-22-005066 · doc4.xml · derivative · entry 8 Heeter Jeffrey D. · CIK 0001686245 · EVP & Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,130 shares Expires 2029-01-24 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 · derivative.exercise_date: This option vested in equal installments over three years beginning on the date shown. Read SEC document |
| January 25, 2022 Filed Jan 26, 2022 16:16 UTC | Alcoa Corp AA · Entity 3397 | Exercise / conversionEmployee Stock Options (right to buy) · Derivative | 11,260 | $53.30 Strike: $53.30 | $600,158.00 |
DisclosureSEC source: 0001209191-22-005066 · doc4.xml · derivative · entry 7 Heeter Jeffrey D. · CIK 0001686245 · EVP & Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,260 shares Expires 2028-01-24 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 · derivative.exercise_date: This option vested in equal installments over three years beginning on the date shown. Read SEC document |
| January 25, 2022 Filed Jan 26, 2022 16:16 UTC | Alcoa Corp AA · Entity 3397 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 12,050 | $37.68 Strike: $37.68 | $454,044.00 |
DisclosureSEC source: 0001209191-22-005066 · doc4.xml · derivative · entry 6 Heeter Jeffrey D. · CIK 0001686245 · EVP & Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,050 shares Expires 2027-02-02 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 · derivative.exercise_date: This option vested in equal installments over three years beginning on the date shown. Read SEC document |
| January 25, 2022 Filed Jan 26, 2022 16:16 UTC | Alcoa Corp AA · Entity 3397 | SaleCommon Stock, par value $0.01 per share | 29,440 | $60.31 | $1,775,517.57 |
DisclosureSEC source: 0001209191-22-005066 · doc4.xml · nonDerivative · entry 5 Heeter Jeffrey D. · CIK 0001686245 · EVP & Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,472 F2 · price: The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $60.1000 - $60.5000. 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. Read SEC document |
| January 25, 2022 Filed Jan 26, 2022 16:16 UTC | Alcoa Corp AA · Entity 3397 | Exercise / conversionCommon Stock, par value $0.01 per share | 6,130 | $27.96 | $171,394.80 |
DisclosureSEC source: 0001209191-22-005066 · doc4.xml · nonDerivative · entry 4 Heeter Jeffrey D. · CIK 0001686245 · EVP & Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,912 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. Read SEC document |
| January 25, 2022 Filed Jan 26, 2022 16:16 UTC | Alcoa Corp AA · Entity 3397 | Exercise / conversionCommon Stock, par value $0.01 per share | 11,260 | $53.30 | $600,158.00 |
DisclosureSEC source: 0001209191-22-005066 · doc4.xml · nonDerivative · entry 3 Heeter Jeffrey D. · CIK 0001686245 · EVP & Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,782 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. Read SEC document |
| January 25, 2022 Filed Jan 26, 2022 16:16 UTC | Alcoa Corp AA · Entity 3397 | Exercise / conversionCommon Stock, par value $0.01 per share | 12,050 | $37.68 | $454,044.00 |
DisclosureSEC source: 0001209191-22-005066 · doc4.xml · nonDerivative · entry 2 Heeter Jeffrey D. · CIK 0001686245 · EVP & Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,522 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. Read SEC document |
| January 24, 2022 Filed Jan 26, 2022 16:16 UTC | Alcoa Corp AA · Entity 3397 | Tax withholdingCommon Stock, par value $0.01 per share | 2,127 | $58.02 | $123,408.54 |
DisclosureSEC source: 0001209191-22-005066 · doc4.xml · nonDerivative · entry 1 Heeter Jeffrey D. · CIK 0001686245 · EVP & Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,472 F1 · shares: Represents the withholding of shares by the issuer to satisfy the reporting person's tax obligations upon the vesting of restricted share units granted in 2019. Read SEC document |
| June 01, 2021 Filed Jun 3, 2021 16:17 UTC | Alcoa Corp AA · Entity 3397 | SaleCommon Stock, par value $0.01 per share | 23,089 | $40.53 | $935,873.36 |
DisclosureSEC source: 0001209191-21-037635 · doc4.xml · nonDerivative · entry 1 Heeter Jeffrey D. · CIK 0001686245 · EVP & Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,599 F1 · price: The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $40.3300 - $40.6900. 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. Read SEC document |
| April 27, 2021 Filed Apr 28, 2021 16:26 UTC | Alcoa Corp AA · Entity 3397 | OtherPhantom Stock Units · Derivative | 9,436 | $36.76 | $346,867.36 |
DisclosureSEC source: 0001209191-21-028804 · doc4.xml · derivative · entry 1 Heeter Jeffrey D. · CIK 0001686245 · EVP & Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,436 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Alcoa common stock. F2 · derivative.exercise_date: Phantom stock units under the Alcoa Deferred Compensation Plan (the "Plan") are 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. F2 · derivative.expiration_date: Phantom stock units under the Alcoa Deferred Compensation Plan (the "Plan") are 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. Read SEC document |
| April 20, 2021 Filed Apr 22, 2021 16:22 UTC | Alcoa Corp AA · Entity 3397 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 12,260 | $0.00 Strike: $27.96 | $0.00 |
DisclosureSEC source: 0001209191-21-027944 · doc4.xml · derivative · entry 3 Heeter Jeffrey D. · CIK 0001686245 · EVP & Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,130 Underlying: Common Stock · 12,260 shares Expires 2029-01-24 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 · derivative.exercise_date: 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. Read SEC document |
| April 20, 2021 Filed Apr 22, 2021 16:22 UTC | Alcoa Corp AA · Entity 3397 | SaleCommon Stock, par value $0.01 per share | 12,260 | $35.35 | $433,424.10 |
DisclosureSEC source: 0001209191-21-027944 · doc4.xml · nonDerivative · entry 2 Heeter Jeffrey D. · CIK 0001686245 · EVP & Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,688 F1 · price: The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $34.9500 - $35.8000. 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. Read SEC document |
| April 20, 2021 Filed Apr 22, 2021 16:22 UTC | Alcoa Corp AA · Entity 3397 | Exercise / conversionCommon Stock, par value $0.01 per share | 12,260 | $27.96 | $342,789.60 |
DisclosureSEC source: 0001209191-21-027944 · doc4.xml · nonDerivative · entry 1 Heeter Jeffrey D. · CIK 0001686245 · EVP & Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,948 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. Read SEC document |
| January 27, 2021 Filed Jan 29, 2021 17:09 UTC | Alcoa Corp AA · Entity 3397 | Tax withholdingCommon Stock, par value $0.01 per share | 160 | $18.66 | $2,985.60 |
DisclosureSEC source: 0001209191-21-006140 · doc4.xml · nonDerivative · entry 3 Heeter Jeffrey D. · CIK 0001686245 · EVP & Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,688 F3 · shares: Represents the mandatory and automatic exempt withholding of shares by the issuer to satisfy the reporting person's tax obligations upon the vesting of PRSUs granted in 2018. Read SEC document |
| January 27, 2021 Filed Jan 29, 2021 17:09 UTC | Alcoa Corp AA · Entity 3397 | GrantCommon Stock, par value $0.01 per share | 473 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-006140 · doc4.xml · nonDerivative · entry 2 Heeter Jeffrey D. · CIK 0001686245 · EVP & Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,848 F2 · shares: Earned performance restricted stock units (PRSUs) granted in 2018. Read SEC document |
| January 27, 2021 Filed Jan 29, 2021 17:09 UTC | Alcoa Corp AA · Entity 3397 | GrantCommon Stock, par value $0.01 per share | 23,580 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-006140 · doc4.xml · nonDerivative · entry 1 Heeter Jeffrey D. · CIK 0001686245 · EVP & Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,375 F1 · shares: Award of restricted stock units, which are settled in stock upon vesting, generally on the third anniversary of the date of grant. Read SEC document |
| January 25, 2021 Filed Jan 26, 2021 17:39 UTC | Alcoa Corp AA · Entity 3397 | Tax withholdingCommon Stock, par value $0.01 per share | 1,524 | $19.34 | $29,474.16 |
DisclosureSEC source: 0001209191-21-005485 · doc4.xml · nonDerivative · entry 1 Heeter Jeffrey D. · CIK 0001686245 · EVP & Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,795 F1 · shares: Represents the mandatory and automatic exempt withholding of shares by the issuer to satisfy the reporting person's tax obligations upon the vesting of restricted share units granted in 2018. Read SEC document |
| February 03, 2020 Filed Feb 4, 2020 18:09 UTC | Alcoa Corp AA · Entity 3397 | Tax withholdingCommon Stock, par value $0.01 per share | 1,348 | $14.24 | $19,195.52 |
DisclosureSEC source: 0001209191-20-006555 · doc4.xml · nonDerivative · entry 1 Heeter Jeffrey D. · CIK 0001686245 · EVP & Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,319 F1 · shares: Represents the mandatory and automatic exempt withholding of shares by the issuer to satisfy the reporting person's tax obligations upon the vesting of restricted share units granted in 2017. Read SEC document |
| January 23, 2020 Filed Jan 27, 2020 17:07 UTC | Alcoa Corp AA · Entity 3397 | GrantCommon Stock, par value $0.01 per share | 24,560 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-005028 · doc4.xml · nonDerivative · entry 1 Heeter Jeffrey D. · CIK 0001686245 · EVP & Gen. Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,667 F1 · shares: Award of restricted stock units, which are settled in stock upon vesting, generally on the third anniversary of the date of grant. Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 16:45 UTC | Alcoa Corp AA · Entity 3397 | OtherPhantom Stock Units · Derivative | 3,087 | $28.32 | $87,423.84 |
DisclosureSEC source: 0001209191-19-010224 · doc4.xml · derivative · entry 1 Heeter Jeffrey D. · CIK 0001686245 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,346 Underlying: Common Stock · 3,087 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Alcoa common stock. F2 · derivative.exercise_date: Phantom stock units, acquired under the Alcoa Deferred Compensation Plan (the "Plan"), 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, acquired under the Alcoa Deferred Compensation Plan (the "Plan"), 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. Read SEC document |
| January 24, 2019 Filed Jan 28, 2019 17:13 UTC | Alcoa Corp AA · Entity 3397 | GrantEmployee Stock Option (right to buy) · Derivative | 18,390 | $0.00 Strike: $27.96 | $0.00 |
DisclosureSEC source: 0001209191-19-005577 · doc4.xml · derivative · entry 2 Heeter Jeffrey D. · CIK 0001686245 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,390 Underlying: Common Stock · 18,390 shares Expires 2029-01-24 F2 · derivative.exercise_date: This option vests in three equal installments beginning January 24, 2020. Read SEC document |
| January 24, 2019 Filed Jan 28, 2019 17:13 UTC | Alcoa Corp AA · Entity 3397 | GrantCommon Stock, par value $0.01 per share | 7,160 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-005577 · doc4.xml · nonDerivative · entry 1 Heeter Jeffrey D. · CIK 0001686245 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,107 F1 · shares: Award of restricted stock units, which are settled in stock upon vesting, generally on the third anniversary of the date of grant. Read SEC document |
| January 22, 2019 Filed Jan 24, 2019 16:19 UTC | Alcoa Corp AA · Entity 3397 | Tax withholdingCommon Stock, par value $0.01 per share | 4,952 | $27.81 | $137,715.12 |
DisclosureSEC source: 0001209191-19-005139 · doc4.xml · nonDerivative · entry 1 Heeter Jeffrey D. · CIK 0001686245 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,947 F1 · shares: Represents the mandatory and automatic exempt withholding of shares by the issuer to satisfy the reporting person's tax obligations upon the vesting of restricted share units granted in 2016. Read SEC document |
| January 24, 2018 Filed Jan 26, 2018 16:50 UTC | Alcoa Corp AA · Entity 3397 | GrantEmployee Stock Option (right to buy) · Derivative | 11,260 | $0.00 Strike: $53.30 | $0.00 |
DisclosureSEC source: 0001675149-18-000025 · edgar.xml · derivative · entry 2 Heeter Jeffrey D. · CIK 0001686245 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,260 Underlying: Common Stock · 11,260 shares Expires 2028-01-24 F2 · derivative.exercise_date: The option vests in three equal annual installments beginning January 24, 2019. Read SEC document |
| January 24, 2018 Filed Jan 26, 2018 16:50 UTC | Alcoa Corp AA · Entity 3397 | GrantCommon Stock, par value $0.01 per share | 4,510 | $0.00 | $0.00 |
DisclosureSEC source: 0001675149-18-000025 · edgar.xml · nonDerivative · entry 1 Heeter Jeffrey D. · CIK 0001686245 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,899 F1 · shares: Award of restricted stock units (RSUs), which are settled in stock upon vesting, generally on the third anniversary of the date of grant. Read SEC document |
| January 22, 2018 Filed Jan 24, 2018 17:18 UTC | Alcoa Corp AA · Entity 3397 | Tax withholdingCommon Stock, par value $0.01 per share | 2,014 | $52.94 | $106,621.16 |
DisclosureSEC source: 0001675149-18-000013 · edgar.xml · nonDerivative · entry 1 Heeter Jeffrey D. · CIK 0001686245 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,389 F1 · shares: Represents the automatic withholding of shares by the issuer to satisfy the reporting person's tax obligations upon the vesting of restricted share units. Read SEC document |
| August 29, 2017 Filed Aug 30, 2017 17:16 UTC | Alcoa Corp AA · Entity 3397 | OtherPhantom Stock Units · Derivative | 6,194 | $42.28 | $261,882.32 |
DisclosureSEC source: 0001675149-17-000061 · edgar.xml · derivative · entry 1 Heeter Jeffrey D. · CIK 0001686245 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,194 Underlying: Common Stock · 6,194 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Alcoa common stock. F2 · derivative.exercise_date: Phantom stock units, acquired under the Alcoa Deferred Compensation Plan, 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, acquired under the Alcoa Deferred Compensation Plan, 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. Read SEC document |
| February 09, 2017 Filed Feb 10, 2017 16:46 UTC | Alcoa Corp AA · Entity 3397 | SaleCommon Stock, par value $0.01 per share | 836 | $37.53 | $31,375.08 |
DisclosureSEC source: 0001675149-17-000017 · edgar.xml · nonDerivative · entry 4 Heeter Jeffrey D. · CIK 0001686245 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,403 Read SEC document |
| February 09, 2017 Filed Feb 10, 2017 16:46 UTC | Alcoa Corp AA · Entity 3397 | SaleCommon Stock, par value $0.01 per share | 100 | $37.52 | $3,752.03 |
DisclosureSEC source: 0001675149-17-000017 · edgar.xml · nonDerivative · entry 3 Heeter Jeffrey D. · CIK 0001686245 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,239 Read SEC document |
| February 09, 2017 Filed Feb 10, 2017 16:46 UTC | Alcoa Corp AA · Entity 3397 | SaleCommon Stock, par value $0.01 per share | 1,164 | $37.52 | $43,673.28 |
DisclosureSEC source: 0001675149-17-000017 · edgar.xml · nonDerivative · entry 2 Heeter Jeffrey D. · CIK 0001686245 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,339 Read SEC document |
| February 09, 2017 Filed Feb 10, 2017 16:46 UTC | Alcoa Corp AA · Entity 3397 | SaleCommon Stock, par value $0.01 per share | 1,648 | $37.51 | $61,816.48 |
DisclosureSEC source: 0001675149-17-000017 · edgar.xml · nonDerivative · entry 1 Heeter Jeffrey D. · CIK 0001686245 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,503 Read SEC document |
| February 02, 2017 Filed Feb 6, 2017 18:46 UTC | Alcoa Corp AA · Entity 3397 | GrantEmployee Stock Option (right to buy) · Derivative | 12,050 | $0.00 Strike: $37.68 | $0.00 |
DisclosureSEC source: 0001675149-17-000010 · edgar.xml · derivative · entry 2 Heeter Jeffrey D. · CIK 0001686245 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,050 Underlying: Common Stock · 12,050 shares Expires 2027-02-02 F2 · derivative.exercise_date: The option vests in three equal annual installments beginning February 2, 2018. Read SEC document |
| February 02, 2017 Filed Feb 6, 2017 18:46 UTC | Alcoa Corp AA · Entity 3397 | GrantCommon Stock, par value $0.01 per share | 3,990 | $0.00 | $0.00 |
DisclosureSEC source: 0001675149-17-000010 · edgar.xml · nonDerivative · entry 1 Heeter Jeffrey D. · CIK 0001686245 · EVP, Gen. Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,151 F1 · shares: Award of restricted stock units (RSUs), which are settled in stock upon vesting, generally on the third anniversary of the date of grant. Read SEC document |
| January 17, 2017 Filed Jan 19, 2017 16:33 UTC | Alcoa Corp AA · Entity 3397 | Tax withholdingCommon Stock par value $0.01 per share | 3,111 | $32.64 | $101,543.04 |
DisclosureSEC 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.