PLANT JOHN C

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: 0000004281-20-000129 · 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: 0001225208-20-007799 · doc4.xml · nonDerivative · entry 1

PLANT JOHN C · CIK 0001136562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,984

SEC source: 0001104659-20-043884 · tm2015210-1_4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,400,000

Underlying: Common Stock · 1,800,000 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 Howmet's election, cash equivalent to the fair market value thereof.

F3 · 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's 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.

F3 · 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's 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.

F4 · balance_after: On April 1, 2020, Arconic Inc. completed the separation of its business into two independent, publicly-traded companies (the "Separation"): Howmet and Arconic Corporation. In connection with the Separation, all equity awards held by the reporting person with respect to Arconic Inc.'s common stock as of the Separation will be adjusted in a manner intended to preserve the aggregate intrinsic value of the original award. The amount of securities reported on this Form 4 do not reflect such adjustment, to the extent applicable, and this Form 4 will be amended in a subsequent filing to reflect such adjustment.

SEC source: 0001104659-20-043884 · tm2015210-1_4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,600,000

Underlying: Common Stock · 1,000,000 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 Howmet's election, cash equivalent to the fair market value thereof.

F2 · derivative.exercise_date: The restricted stock units will vest in three equal installments on March 31, 2021, March 31, 2022 and March 31, 2023, respectively, and subject to the reporting person's continued employment through the applicable vesting date.

F2 · derivative.expiration_date: The restricted stock units will vest in three equal installments on March 31, 2021, March 31, 2022 and March 31, 2023, respectively, and subject to the reporting person's continued employment through the applicable vesting date.

F4 · balance_after: On April 1, 2020, Arconic Inc. completed the separation of its business into two independent, publicly-traded companies (the "Separation"): Howmet and Arconic Corporation. In connection with the Separation, all equity awards held by the reporting person with respect to Arconic Inc.'s common stock as of the Separation will be adjusted in a manner intended to preserve the aggregate intrinsic value of the original award. The amount of securities reported on this Form 4 do not reflect such adjustment, to the extent applicable, and this Form 4 will be amended in a subsequent filing to reflect such adjustment.

SEC source: 0000004281-20-000098 · 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: 3,529,998

Underlying: Common Stock · 1,800,000 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 as elected by Howmet, a cash equivalent to the fair market value thereof.

F3 · derivative.exercise_date: These restricted stock units vest in full or in part on March 31, 2023, and are contingent on the continuing service of Mr. Plant as Co-Chief Executive Officer through such date and the achievement of certain performance goals relating to the stock price of Howmet 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.

F3 · derivative.expiration_date: These restricted stock units vest in full or in part on March 31, 2023, and are contingent on the continuing service of Mr. Plant as Co-Chief Executive Officer through such date and the achievement of certain performance goals relating to the stock price of Howmet 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.

F4 · 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 is being amended to reflect 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: 0000004281-20-000098 · 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: 1,729,998

Underlying: Common Stock · 1,000,000 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 as elected by Howmet, a cash equivalent to the fair market value thereof.

F2 · derivative.exercise_date: The restricted stock units will vest in three equal installments on March 31, 2021, March 31, 2022 and March 31, 2023, respectively, and subject to the continued employment of the reporting person through the applicable vesting date.

F2 · derivative.expiration_date: The restricted stock units will vest in three equal installments on March 31, 2021, March 31, 2022 and March 31, 2023, respectively, and subject to the continued employment of the reporting person through the applicable vesting date.

F4 · 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 is being amended to reflect 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: 0000004281-20-000020 · edgar.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,000,000 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 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock of Arconic Inc. ("Arconic") or, at Arconic's election, cash equivalent to the fair market value thereof.

F6 · derivative.exercise_date: These restricted stock units vested on the first anniversary of February 6, 2019, and were contingent on Mr. Plant's continued service as Chief Executive Officer through such date 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.

F6 · derivative.expiration_date: These restricted stock units vested on the first anniversary of February 6, 2019, and were contingent on Mr. Plant's continued service as Chief Executive Officer through such date 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: 0000004281-20-000020 · edgar.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 614,144

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: 0000004281-20-000020 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,028,282

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: Acquisition of common stock upon vesting and settlement of restricted stock units. Each restricted stock unit converted into common stock on a one-for-one basis.

SEC source: 0001225208-19-013719 · doc4.xml · nonDerivative · entry 1

PLANT JOHN C · CIK 0001136562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,200

F1 · kind: Restricted Stock Units ("RSUs"), granted pursuant to Issuer's 2011 Stock Award and Incentive Plan, as amended and restated, each represent the right to receive one share of Issuer's Common Stock upon vesting. The RSUs vest on October 17, 2020.

SEC source: 0000004281-19-000100 · edgar.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 80,463

F4 · price: The price reported in column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $24.12 to $24.20. The reporting person undertakes to provide to Arconic, any security holder of Arconic, 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.

F3 · ownership.nature: Revocable living trust of which the reporting person is the trustee and beneficiary, with voting and investment power.

SEC source: 0000004281-19-000100 · edgar.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 67,820

F2 · price: The price reported in column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $23.89 to $24.19. The reporting person undertakes to provide to Arconic Inc. ("Arconic"), any security holder of Arconic, 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.

F3 · ownership.nature: Revocable living trust of which the reporting person is the trustee and beneficiary, with voting and investment power.

SEC source: 0000004281-19-000098 · edgar.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires not disclosed

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

F6 · derivative.exercise_date: These restricted stock units generally vest on the later of August 6, 2020 and the date Arconic's common stock achieves an Average Price (as defined in the Letter Agreement) of $36 per share, subject to achievement of such Average Price no later than August 6, 2021, contingent on Mr. Plant's continued employment as Chief Executive Officer or as Advisor to Arconic through August 6, 2020, 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.

F6 · derivative.expiration_date: These restricted stock units generally vest on the later of August 6, 2020 and the date Arconic's common stock achieves an Average Price (as defined in the Letter Agreement) of $36 per share, subject to achievement of such Average Price no later than August 6, 2021, contingent on Mr. Plant's continued employment as Chief Executive Officer or as Advisor to Arconic through August 6, 2020, 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: 0000004281-19-000098 · edgar.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires not disclosed

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

F5 · derivative.exercise_date: These restricted stock units generally vest on the later of August 6, 2020 and the date Arconic's common stock achieves an Average Price (as defined in the Letter Agreement) of $34 per share, subject to achievement of such Average Price no later than August 6, 2021, contingent on Mr. Plant's continued employment as Chief Executive Officer or as Advisor to Arconic through August 6, 2020, 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 generally vest on the later of August 6, 2020 and the date Arconic's common stock achieves an Average Price (as defined in the Letter Agreement) of $34 per share, subject to achievement of such Average Price no later than August 6, 2021, contingent on Mr. Plant's continued employment as Chief Executive Officer or as Advisor to Arconic through August 6, 2020, 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: 0000004281-19-000098 · edgar.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires not disclosed

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

F4 · derivative.exercise_date: These restricted stock units generally vest on the later of August 6, 2020 and the date Arconic's common stock achieves an Average Price (as defined in the Letter Agreement) of $32 per share, subject to achievement of such Average Price no later than August 6, 2021, contingent on Mr. Plant's continued employment as Chief Executive Officer or as Advisor to Arconic through August 6, 2020, 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.

F4 · derivative.expiration_date: These restricted stock units generally vest on the later of August 6, 2020 and the date Arconic's common stock achieves an Average Price (as defined in the Letter Agreement) of $32 per share, subject to achievement of such Average Price no later than August 6, 2021, contingent on Mr. Plant's continued employment as Chief Executive Officer or as Advisor to Arconic through August 6, 2020, 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: 0000004281-19-000098 · edgar.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires not disclosed

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

F3 · derivative.exercise_date: These restricted stock units generally vest on August 6, 2020 if the Spinoff Date (as defined in the Letter Agreement, by and between Arconic and John C. Plant, dated as of August 1, 2019 (the "Letter Agreement")) has occurred prior to August 6, 2020, contingent on Mr. Plant's continued employment as Chief Executive Officer or as Advisor to Arconic through August 6, 2020, 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.

F3 · derivative.expiration_date: These restricted stock units generally vest on August 6, 2020 if the Spinoff Date (as defined in the Letter Agreement, by and between Arconic and John C. Plant, dated as of August 1, 2019 (the "Letter Agreement")) has occurred prior to August 6, 2020, contingent on Mr. Plant's continued employment as Chief Executive Officer or as Advisor to Arconic through August 6, 2020, 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: 0000004281-19-000098 · edgar.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires not disclosed

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

F2 · derivative.exercise_date: These restricted stock units generally vest on August 6, 2020, contingent on Mr. Plant's continued employment as Chief Executive Officer or as Advisor to Arconic through such date 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.

F2 · derivative.expiration_date: These restricted stock units generally vest on August 6, 2020, contingent on Mr. Plant's continued employment as Chief Executive Officer or as Advisor to Arconic through such date 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: 0001225208-19-007924 · doc4.xml · nonDerivative · entry 1

PLANT JOHN C · CIK 0001136562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,474

F1 · price: N/A

SEC source: 0000004281-19-000065 · edgar.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 50,000

F2 · price: The price reported in column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $21.91 to $22.20. The reporting person undertakes to provide Arconic Inc., any security holder of Arconic Inc., 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.

F3 · ownership.nature: Revocable living trust of which the reporting person is the trustee and beneficiary, with voting and investment power.

SEC source: 0000004281-19-000046 · edgar.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 220,000

F1 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F5 · price: The price reported in column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $18.66 to $18.94. The reporting person undertakes to provide to Arconic Inc., any security holder of Arconic Inc., 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.

F3 · ownership.nature: Revocable living trust of which the reporting person is the trustee and beneficiary, with voting and investment power.

SEC source: 0000004281-19-000046 · edgar.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 185,000

F1 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F4 · price: The price reported in column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $18.24 to $18.91. The reporting person undertakes to provide to Arconic Inc., any security holder of Arconic Inc., 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.

F3 · ownership.nature: Revocable living trust of which the reporting person is the trustee and beneficiary, with voting and investment power.

SEC source: 0000004281-19-000046 · edgar.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 150,000

F1 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F2 · price: The price reported in column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $18.11 to $18.70. The reporting person undertakes to provide to Arconic Inc., any security holder of Arconic Inc., 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.

F3 · ownership.nature: Revocable living trust of which the reporting person is the trustee and beneficiary, with voting and investment power.

SEC source: 0000004281-19-000044 · edgar.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 115,000

F2 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F6 · price: The price reported in column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $18.03 to $18.61. The reporting person undertakes to provide to Arconic Inc., any security holder of Arconic Inc., 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.

F4 · ownership.nature: Revocable living trust of which the reporting person is the trustee and beneficiary, with voting and investment power.

SEC source: 0000004281-19-000044 · edgar.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 80,000

F2 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F5 · price: The price reported in column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $18.53 to $18.94. The reporting person undertakes to provide to Arconic Inc., any security holder of Arconic Inc., 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.

F4 · ownership.nature: Revocable living trust of which the reporting person is the trustee and beneficiary, with voting and investment power.

SEC source: 0000004281-19-000044 · edgar.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 45,000

F2 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F3 · price: The price reported in column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $18.47 to $18.75. The reporting person undertakes to provide to Arconic Inc., any security holder of Arconic Inc., 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.

F4 · ownership.nature: Revocable living trust of which the reporting person is the trustee and beneficiary, with voting and investment power.

SEC source: 0001246360-19-000790 · form.xml · nonDerivative · entry 1

PLANT JOHN C · CIK 0001136562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,493

F1 · shares: Represents time-based restricted stock units ("TBRSU") which, subject to the applicable award agreement, vest on February 21, 2020. Each TBRSU represents a contingent right to receive one ordinary share of the registrant.

SEC source: 0000004281-19-000028 · edgar.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000,000

Underlying: Common Stock · 1,000,000 shares

Expires not disclosed

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

F2 · derivative.exercise_date: The restricted stock units generally vest on the first anniversary of February 6, 2019, contingent on Mr. Plant's continued service as Chief Executive Officer through such date 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.

F2 · derivative.expiration_date: The restricted stock units generally vest on the first anniversary of February 6, 2019, contingent on Mr. Plant's continued service as Chief Executive Officer through such date 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: 0000004281-19-000012 · edgar.xml · nonDerivative · entry 1

PLANT JOHN C · CIK 0001136562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,732

SEC source: 0000004281-18-000124 · edgar.xml · nonDerivative · entry 1

PLANT JOHN C · CIK 0001136562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,924

SEC source: 0001225208-18-014788 · doc4.xml · nonDerivative · entry 1

PLANT JOHN C · CIK 0001136562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,400

F1 · kind: Restricted Stock Units ("RSUs"), granted pursuant to Issuer's 2011 Stock Award and Incentive Plan, as amended and restated, each represent the right to receive one share of Issuer's Common Stock upon vesting. The RSUs vest on October 18, 2019.

SEC source: 0000004281-18-000121 · edgar.xml · nonDerivative · entry 1

PLANT JOHN C · CIK 0001136562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,629

SEC source: 0000004281-18-000106 · edgar.xml · nonDerivative · entry 1

PLANT JOHN C · CIK 0001136562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,127

SEC source: 0000004281-18-000088 · edgar.xml · nonDerivative · entry 1

PLANT JOHN C · CIK 0001136562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,155

SEC source: 0001225208-18-009286 · doc4.xml · nonDerivative · entry 1

PLANT JOHN C · CIK 0001136562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,784

F1 · price: N/A

SEC source: 0001246360-18-001106 · form.xml · nonDerivative · entry 1

PLANT JOHN C · CIK 0001136562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,418

F1 · shares: Represents time-based restricted stock units ("TBRSU") which, subject to the applicable award agreement, vest on March 8, 2019. Each TBRSU represents a contingent right to receive one ordinary share of the registrant.

SEC source: 0000004281-17-000131 · edgar.xml · nonDerivative · entry 1

PLANT JOHN C · CIK 0001136562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,859

SEC source: 0001225208-17-016465 · doc4.xml · nonDerivative · entry 1

PLANT JOHN C · CIK 0001136562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,600

F1 · kind: This represents the grant of a restricted stock unit award. Each restricted stock unit represents the right to receive one share of Common Stock at vesting. The restricted stock units will vest on October 19, 2018.

SEC source: 0000004281-17-000099 · edgar.xml · nonDerivative · entry 1

PLANT JOHN C · CIK 0001136562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,521

SEC source: 0001225208-17-009842 · doc4.xml · nonDerivative · entry 1

PLANT JOHN C · CIK 0001136562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,104

F1 · price: N/A

SEC source: 0000004281-17-000049 · edgar.xml · derivative · entry 1

PLANT JOHN C · CIK 0001136562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,557

Underlying: Common Stock · 832 shares

Expires not disclosed

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

F2 · shares: Represents a partial reversal of transactions on April 1, 2016, July 1, 2016 and October 3, 2016, where an excess number of phantom stock units was acquired due to administrative errors in calculating applicable payment and crediting amounts.

F3 · derivative.exercise_date: Phantom stock units are acquired under the Issuer's Amended and Restated Deferred Fee Plan for Directors and are to be paid out in cash after Board service ends.

F3 · derivative.expiration_date: Phantom stock units are acquired under the Issuer's Amended and Restated Deferred Fee Plan for Directors and are to be paid out in cash after Board service ends.

F4 · balance_after: On October 5, 2016, the Issuer effected a 1-for-3 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

F5 · balance_after: On November 1, 2016, the Issuer completed the separation of its business into two independent, publicly-traded companies (the "Separation"): the Issuer and Alcoa Corporation. In connection with the Separation, and pursuant to the terms of an Employee Matters Agreement dated October 31, 2016, by and between the Issuer and Alcoa Corporation, all phantom stock units held by the reporting person with respect to the Issuer's common stock were adjusted in a manner intended to preserve the aggregate intrinsic value of the phantom stock units immediately prior to the Separation. The amount of securities reported on this Form 4 reflect the aforementioned adjustment.

SEC source: 0000004281-16-000218 · edgar.xml · nonDerivative · entry 1

PLANT JOHN C · CIK 0001136562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,112

F1 · balance_after: On October 5, 2016, Arconic Inc. (formerly, Alcoa Inc.) effected a 1-for-3 reverse stock split of its Common Stock. The amount of securities reported on this Form 4 have been adjusted to reflect the reverse stock split.

SEC source: 0001225208-16-040634 · doc4.xml · nonDerivative · entry 1

PLANT JOHN C · CIK 0001136562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,100

F1 · security: This represents the grant of a restricted stock unit award. Each restricted stock unit represents the right to receive one share of Common Stock at vesting. The restricted stock units will become vested on October 19, 2017, provided that on such date the reporting person is an employee or director of, or otherwise a consultant (as defined in the Plan) to, the Company or a subsidiary.

SEC source: 0000004281-16-000149 · edgar.xml · derivative · entry 2

PLANT JOHN C · CIK 0001136562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,791

Underlying: Common Stock · 3,118 shares

Expires not disclosed

F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Alcoa common stock.

F3 · derivative.exercise_date: Phantom stock units were acquired under the Alcoa 2005 Deferred Fee Plan for Directors and are to be paid out in cash after Board service ends.

F3 · derivative.expiration_date: Phantom stock units were acquired under the Alcoa 2005 Deferred Fee Plan for Directors and are to be paid out in cash after Board service ends.

SEC source: 0001225208-16-039441 · doc5.xml · nonDerivative · entry 2

PLANT JOHN C · CIK 0001136562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,500

F1 · shares: This represents an unreported transaction that was inadvertently omitted by the reporting person.