0001675149-17-000064.txt : 20170914 0001675149-17-000064.hdr.sgml : 20170914 20170914164527 ACCESSION NUMBER: 0001675149-17-000064 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170913 FILED AS OF DATE: 20170914 DATE AS OF CHANGE: 20170914 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Beerman Molly S. CENTRAL INDEX KEY: 0001691997 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37816 FILM NUMBER: 171086077 MAIL ADDRESS: STREET 1: C/O ALCOA CORPORATION STREET 2: 390 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022-4608 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Alcoa Corp CENTRAL INDEX KEY: 0001675149 STANDARD INDUSTRIAL CLASSIFICATION: PRIMARY PRODUCTION OF ALUMINUM [3334] IRS NUMBER: 811789115 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 201 ISABELLA STREET STREET 2: SUITE 500 CITY: PITTSBURGH STATE: PA ZIP: 15212 BUSINESS PHONE: 412-315-2900 MAIL ADDRESS: STREET 1: 201 ISABELLA STREET STREET 2: SUITE 500 CITY: PITTSBURGH STATE: PA ZIP: 15212 FORMER COMPANY: FORMER CONFORMED NAME: Alcoa Upstream Corp DATE OF NAME CHANGE: 20160520 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2017-09-13 0001675149 Alcoa Corp AA 0001691997 Beerman Molly S. 201 ISABELLA STREET, STE. 500 PITTSBURGH PA 15212 0 1 0 0 Vice President and Controller Common Stock 4156 D Common Stock 2017-09-13 4 J 0 568.41 44.72 D 0 I By 401(k) plan This disposition relates to shares of Alcoa Corporation stock held in the Arconic Inc. 401(k) plan (the "Arconic Qualified Plan"). On November 1, 2016, Alcoa Corporation launched as an independent, publicly traded company upon its separation from Alcoa Inc. (since renamed "Arconic Inc."). In connection with the separation transaction, on November 1, 2016, one share of Alcoa Corporation common stock was distributed by Alcoa Inc. for every three shares of Alcoa Inc. common stock held by its stockholders on the record date for the transaction. For a transition period following the separation transaction, the Alcoa Corporation stock fund remained an investment option in the Arconic Qualified Plan. The reporting person, a former employee of Alcoa Inc., was advised by the plan administrator of the Arconic Qualified Plan that if the reporting person did not direct an intra-plan transfer of all assets held in the Alcoa Corporation stock fund of the Arconic Qualified Plan to another fund in the Arconic Qualified Plan by October 6, 2017, the reporting person's entire balance in the Alcoa Corporation stock fund of the Arconic Qualified Plan would be liquidated and invested into another fund designated by the plan administrator. Therefore, on September 13, 2017, the reporting person effected an intra-plan transfer of all assets held in the Alcoa Corporation stock fund to another plan fund under the Arconic Qualified Plan. /s/ Marissa Earnest (Assistant Secretary), by power of attorney 2017-09-14