0000004281-20-000165.txt : 20200810 0000004281-20-000165.hdr.sgml : 20200810 20200810193032 ACCESSION NUMBER: 0000004281-20-000165 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200806 FILED AS OF DATE: 20200810 DATE AS OF CHANGE: 20200810 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PLANT JOHN C CENTRAL INDEX KEY: 0001136562 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-03610 FILM NUMBER: 201090765 MAIL ADDRESS: STREET 1: C/O MASCO CORPORATION STREET 2: 17450 COLLEGE PARKWAY CITY: LIVONIA STATE: MI ZIP: 48152 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Howmet Aerospace Inc. CENTRAL INDEX KEY: 0000004281 STANDARD INDUSTRIAL CLASSIFICATION: ROLLING DRAWING & EXTRUDING OF NONFERROUS METALS [3350] IRS NUMBER: 250317820 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 201 ISABELLA STREET STREET 2: SUITE 200 CITY: PITTSBURGH STATE: PA ZIP: 15212-5872 BUSINESS PHONE: (412) 553-1940 MAIL ADDRESS: STREET 1: 201 ISABELLA STREET CITY: PITTSBURGH STATE: PA ZIP: 15212-5872 FORMER COMPANY: FORMER CONFORMED NAME: Arconic Inc. DATE OF NAME CHANGE: 20161101 FORMER COMPANY: FORMER CONFORMED NAME: ALCOA INC. DATE OF NAME CHANGE: 20141003 FORMER COMPANY: FORMER CONFORMED NAME: ALCOA INC DATE OF NAME CHANGE: 19990105 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2020-08-06 0000004281 Howmet Aerospace Inc. HWM 0001136562 PLANT JOHN C 201 ISABELLA STREET SUITE 200 PITTSBURGH PA 15212 1 1 0 0 Chairman and Co-CEO Common Stock 2020-08-06 4 M 0 608332 17.28 A 1028600 D Common Stock 2020-08-06 4 F 0 256260 17.28 D 772340 D Common Stock 500463 I By Trust Restricted Stock Unit 2020-08-06 4 M 0 486666 0.0 D Common Stock 486666 3828332 D Restricted Stock Unit 2020-08-06 4 M 0 60833 0 D Common Stock 60833 3767499 D Restricted Stock Unit 2020-08-06 4 M 0 60833 0.0 D Common Stock 60833 3706666 D Each restricted stock unit converted into common stock on a one-for-one basis. 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. Shares held in grantor retained annuity trusts (GRATS), each of which the reporting person is the trustee and beneficiary. 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. 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. 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. /s/ Margaret Lam (Assistant Secretary), by power of attorney 2020-08-10