0000004281-17-000015.txt : 20170118 0000004281-17-000015.hdr.sgml : 20170118 20170118211947 ACCESSION NUMBER: 0000004281-17-000015 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170113 FILED AS OF DATE: 20170118 DATE AS OF CHANGE: 20170118 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Arconic Inc. CENTRAL INDEX KEY: 0000004281 STANDARD INDUSTRIAL CLASSIFICATION: ROLLING DRAWING & EXTRUDING OF NONFERROUS METALS [3350] IRS NUMBER: 250317820 STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 390 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022-4608 BUSINESS PHONE: 2128362732 MAIL ADDRESS: STREET 1: 390 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022-4608 FORMER COMPANY: FORMER CONFORMED NAME: ALCOA INC. DATE OF NAME CHANGE: 20141003 FORMER COMPANY: FORMER CONFORMED NAME: ALCOA INC DATE OF NAME CHANGE: 19990105 FORMER COMPANY: FORMER CONFORMED NAME: ALUMINUM CO OF AMERICA DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KLEINFELD KLAUS CENTRAL INDEX KEY: 0001268014 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-03610 FILM NUMBER: 17534714 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2017-01-13 0000004281 Arconic Inc. ARNC 0001268014 KLEINFELD KLAUS 390 PARK AVENUE NEW YORK, NY 10022 1 1 0 0 Chairman and CEO Common Stock 2017-01-13 4 A 0 81330 0 A 830274 D Common Stock 2017-01-13 4 A 0 71351 0 A 901625 D Common Stock 2017-01-13 4 A 0 151442 0 A 1053067 D Common Stock 2722 I by Company 401(k) plan Employee Stock Option (right to buy) 21.13 2017-01-13 4 A 0 287540 A 2027-01-13 Common Stock 287540 287540 D 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. 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 (the "Employee Matters Agreement"), all equity awards 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 original award. The amount of securities reported on this Form 4 reflect the aforementioned adjustment. The amount of securities reported herein have been adjusted to reflect (i) the Reverse Stock Split and (ii) the post-Separation treatment of Issuer stock fund units as contemplated by the Employee Matters Agreement. The option vests in three equal annual installments beginning January 13, 2018. Employee stock options are granted without payment of consideration. /s/ Margaret Lam (Assistant Secretary) by power of attorney 2017-01-18