John C. Plant - 09 Jun 2021 Form 4 Insider Report for Howmet Aerospace Inc. (HWM)

Role
Chairman and Co-CEO, Director
Signature
/s/ Margaret Lam (Assistant Secretary), Attorney-in-fact
Issuer symbol
HWM
Transactions as of
09 Jun 2021
Net transactions value
-$2,462,364
Form type
4
Filing time
11 Jun 2021, 18:03:57 UTC
Previous filing
14 May 2021
Next filing
18 Oct 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HWM Common Stock Options Exercise +161,667 1,192 09 Jun 2021 Direct F1
transaction HWM Common Stock Tax liability $2,462,364 -70,293 -5.9% $35.03 1,121,673 09 Jun 2021 Direct F2
holding HWM Common Stock 500,463 09 Jun 2021 By Trust F3

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction HWM Restricted Stock Units Options Exercise $0 -161,667 -5% $0.000000 3,089,999 09 Jun 2021 Common Stock 161,667 Direct F1, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each restricted stock unit converted into common stock on a one-for-one basis.
F2 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.
F3 Shares held in trusts, each of which the reporting person is the trustee and beneficiary.
F4 Reflects vesting of one-third of the restricted stock units granted on June 9, 2020 in accordance with their terms.