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Alcoa (NYSE: AA) EVP adjusts stock, spouse and 401(k) holdings

Filing Impact
(Very High)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Alcoa executive Tammi A. Jones, EVP & CHRO, reported routine equity-related transactions and updated her share holdings. On January 26, 2026, Alcoa withheld several blocks of common stock to cover her tax obligations when restricted stock units granted in 2023 and 2024 vested, at a share price of $58.55. Small additional shares were credited from dividend equivalents that had accumulated in cash and converted to stock at vesting. The filing also records similar tax-withholding and dividend-equivalent entries for stock held indirectly through her spouse, plus a separate balance held indirectly in a company 401(k) stock fund.

Positive

  • None.

Negative

  • None.
Insider Jones Tammi A
Role EVP & CHRO
Type Security Shares Price Value
Tax Withholding Common Stock, par value $0.01 per share 7,630 $58.55 $447K
Grant/Award Common Stock, par value $0.01 per share 248 $58.55 $15K
Tax Withholding Common Stock, par value $0.01 per share 133 $58.55 $8K
Tax Withholding Common Stock, par value $0.01 per share 2,304 $58.55 $135K
Grant/Award Common Stock, par value $0.01 per share 80 $58.55 $5K
Tax Withholding Common Stock, par value $0.01 per share 42 $58.55 $2K
holding Common Stock, par value $0.01 per share -- -- --
Holdings After Transaction: Common Stock, par value $0.01 per share — 45,064 shares (Direct); Common Stock, par value $0.01 per share — 9,593 shares (Indirect, By Spouse)
Footnotes (1)
  1. Represents the withholding of shares by the issuer to satisfy the reporting person's tax obligations upon the vesting of restricted stock units (RSUs) granted in 2023 and 2024. Shares acquired pursuant to stock settlement of dividend equivalents accumulated in cash and converted to stock upon the vesting and settlement of the underlying RSUs, granted in 2023 and 2024, based on the share price at the time of vesting. Represents the withholding of shares by the issuer to satisfy the reporting person's tax obligations upon stock settlement of dividend equivalents accumulated in cash and converted to stock upon the vesting and settlement of the underlying RSUs, granted in 2023 and 2024, based on the share price at the time of vesting. Fluctuations in 401(k) share amounts reflect the plan's unit reporting method; units represent interests in the Company's stock fund.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Jones Tammi A
(Last) (First) (Middle)
201 ISABELLA STREET, SUITE 500
(Street)
PITTSBURGH PA 15212
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Alcoa Corp [ AA ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
EVP & CHRO
3. Date of Earliest Transaction (Month/Day/Year)
01/26/2026
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, par value $0.01 per share 01/26/2026 F 7,630(1) D $58.55 45,064 D
Common Stock, par value $0.01 per share 01/26/2026 A 248(2) A $58.55 45,312 D
Common Stock, par value $0.01 per share 01/26/2026 F 133(3) D $58.55 45,179 D
Common Stock, par value $0.01 per share 01/26/2026 F 2,304(1) D $58.55 9,593 I By Spouse
Common Stock, par value $0.01 per share 01/26/2026 A 80(2) A $58.55 9,673 I By Spouse
Common Stock, par value $0.01 per share 01/26/2026 F 42(3) D $58.55 9,631 I By Spouse
Common Stock, par value $0.01 per share 60(4) I By Company 401(k)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Represents the withholding of shares by the issuer to satisfy the reporting person's tax obligations upon the vesting of restricted stock units (RSUs) granted in 2023 and 2024.
2. Shares acquired pursuant to stock settlement of dividend equivalents accumulated in cash and converted to stock upon the vesting and settlement of the underlying RSUs, granted in 2023 and 2024, based on the share price at the time of vesting.
3. Represents the withholding of shares by the issuer to satisfy the reporting person's tax obligations upon stock settlement of dividend equivalents accumulated in cash and converted to stock upon the vesting and settlement of the underlying RSUs, granted in 2023 and 2024, based on the share price at the time of vesting.
4. Fluctuations in 401(k) share amounts reflect the plan's unit reporting method; units represent interests in the Company's stock fund.
/s/ Marissa P. Earnest, attorney-in-fact for Tammi A. Jones 01/28/2026
** 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 4 (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.

Source: View Original Filing on SEC EDGAR

FAQ

What did Alcoa (AA) executive Tammi A. Jones report on this Form 4?

Tammi A. Jones reported routine equity transactions tied to vested restricted stock units. Shares were withheld to cover tax obligations, and small amounts were added from dividend equivalents converting to stock, along with updated indirect holdings via her spouse and a company 401(k) stock fund.

Were the Alcoa (AA) Form 4 transactions open-market stock sales?

No, the transactions reflect tax withholding and settlement mechanics, not open-market sales. Shares were withheld by Alcoa to satisfy tax obligations on vested RSUs, while dividend equivalents converted to stock increased holdings slightly, both directly and through her spouse’s indirectly held shares.

How were dividend equivalents handled in this Alcoa (AA) Form 4 filing?

Dividend equivalents that had accumulated in cash on prior RSU grants converted into Alcoa common stock upon vesting. This conversion resulted in small share acquisitions credited to Tammi A. Jones and to the indirect holdings reported as owned through her spouse on January 26, 2026.

What indirect Alcoa (AA) share holdings are disclosed for Tammi A. Jones?

The filing shows indirect ownership through her spouse, reflecting both tax-withheld and dividend-equivalent-related share changes. It also lists an indirect interest in a company 401(k) stock fund, where units represent an interest in an Alcoa stock fund rather than individual share certificates.

What does the Alcoa (AA) Form 4 say about 401(k) plan shares?

The filing notes that fluctuations in the reported 401(k) holdings reflect the plan’s unit reporting method. These units represent an interest in Alcoa’s stock fund inside the 401(k), rather than discrete Alcoa common shares held directly in a brokerage account.

What role does Tammi A. Jones hold at Alcoa (AA) in this Form 4?

Tammi A. Jones is identified as an officer of Alcoa, serving as Executive Vice President and Chief Human Resources Officer. The Form 4 reports her direct and indirect beneficial ownership changes in Alcoa common stock tied to RSU vesting and related tax and dividend-equivalent adjustments.