FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
| 2. Date of Event Requiring Statement (Month/Day/Year) 04/01/2020 |
3. Issuer Name and Ticker or Trading Symbol Arconic Corp [ ARNC] | ||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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5. If Amendment, Date of Original Filed (Month/Day/Year) 04/10/2020 | |||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 127,052(3) | D | |
Common Stock | 3,251 | I | By Company 401(k) Plan |
Common Stock | 3,778(3)(4) | I | Held in Trust for the Benefit of the Reporting Person |
Common Stock | 2,000(3)(4) | I | Held in Trust for the Benefit of the Reporting Person's spouse |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | ||||||
1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||
Phantom Stock | (1)(2)(3) | (1) | Common Stock | 1,290 | (2) | D |
Explanation of Responses: |
1. Phantom stock units were acquired under the Arconic Deferred Compensation Plan and are to be paid out in cash after termination of employment. The reporting person may transfer the phantom stock into an alternative iinvestment account under the Plan at times permitted under the Plan. |
2. Each phantom stock unit is the economic equivalent of one share of Arconic common stock. |
3. 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 (the Company), by distributing all outstanding shares of the Company to its shareholders. The number of Company shares and share equivalents reported on this Form 3 includes (I) shares of Company common stock received by the reporting person in the distribution and (2) shares of Company common stock underlying equity awards resulting fom the adjustment of all Arconic Inc. equity awards held by the reporting person as of the Separation. |
4. This amendement includes shares of common stock held in Trust by the reporting person and their spouse but were inadvertently omitted in the original filing on April 10, 2020 |
Adam Wheeler, Assistant General Counsel and Assistant Corporate Secretary by power of attorney | 01/21/2021 |
** Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | |
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
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Arconic Corporation published this content on 21 January 2021 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 22 January 2021 00:15:06 UTC