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As Of Filer Filing For·On·As Docs:Size Issuer Agent 6/20/19 Arconic Inc. S-8 6/20/19 4:54K Toppan Vintage/FA |
Document/Exhibit Description Pages Size
1: S-8 Registration of Securities to be Offered to HTML 26K
Employees Pursuant to an Employee Benefit Plan
2: EX-5.1 Opinion re: Legality HTML 12K
4: EX-23.1 Consent of Experts or Counsel HTML 5K
3: EX-15.1 Letter re: Unaudited Interim Financial Information HTML 6K
As filed with the Securities and Exchange Commission on June 20, 2019
Registration No. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM S-8
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
ARCONIC INC.
(Exact name of registrant as specified in its charter)
| Delaware | 25-0317820 | |
|
(State or Other Jurisdiction of Incorporation or Organization) |
(I.R.S. Employer Identification No.) | |
|
201 Isabella Street, Suite 200 | ||
(Address of principal executive offices, including zip code)
2013 Arconic Stock Incentive Plan, as Amended and Restated
(Full Title of the Plan)
Katherine H. Ramundo
Executive Vice President, Chief Legal Officer and Secretary
390 Park Avenue
(Name and Address of Agent for Service)
(212) 836-2732
(Telephone Number, Including Area Code, of Agent for Service)
Indicate by check mark whether the registrant
is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company or an emerging growth
company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting
company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.
| Large accelerated filer | x | Accelerated filer | ¨ | ||
| Non-accelerated filer | ¨ | Smaller reporting company | ¨ | ||
| Emerging growth company | ¨ |
| If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act. | ¨ |
Calculation of Registration Fee
| Title of Securities to be Registered | Amount to be Registered(1) | Proposed Maximum Offering Price Per Share(2) | Proposed Maximum Aggregate Offering Price(2) | Amount of Registration Fee | ||||||||||||
| Common Stock, $1.00 par value per share | 20,000,000 | $ | 22.84 | $ | 456,800,000 | $ | 55,364.16 | |||||||||
| (1) | Pursuant to Rule 416(a) under the Securities Act of 1933, as amended (the “Securities Act”), this Registration Statement also covers any additional securities that may be offered or issued pursuant to the 2013 Arconic Stock Incentive Plan, as Amended and Restated to prevent dilution as a result of adjustments for stock splits, stock dividends or similar transactions. |
| (2) | Estimated solely for the purpose of calculating the registration fee pursuant to 457(c) and 457(h) of the Securities Act, and based on the average of the high and low prices of shares of Arconic Inc.’s common stock, $1.00 par value per share, reported on the New York Stock Exchange on June 17, 2019. |
REGISTRATION OF ADDITIONAL SECURITIES
Pursuant to General Instruction E of Form S-8, this Registration Statement is being filed by Arconic Inc. (the “Company”) in order to register an additional 20,000,000 shares (increased from 46,666,666 shares for a total of up to 66,666,666 shares) of its common stock, par value $1.00 per share, which are securities of the same class and relate to the same employee benefit plan, the 2013 Arconic Stock Incentive Plan, as Amended and Restated, as those shares registered on the Company’s Registration Statements on Form S-8 previously filed with the Securities and Exchange Commission (the “SEC”) on June 24, 2016 (Registration No. 333-212246, as amended by post-effective amendment filed on January 5, 2018) and on July 10, 2013 (Registration No. 333-189882, as amended by post-effective amendment filed on January 5, 2018) (collectively, “Prior Registration Statements”).
Pursuant to General Instruction E to Form S-8, the contents of the Prior Registration Statements are incorporated herein by reference and made part of this Registration Statement, except as amended hereby.
PART II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
| ITEM 8. | Exhibits. |
The following are filed as exhibits to this Registration Statement:
C:
| C: 2 |
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, the registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Pittsburgh, the Commonwealth of Pennsylvania on June 20, 2019.
| ARCONIC INC. | ||
| By: |
/s/ Paul Myron | |
| Paul Myron | ||
|
Vice President and Controller (Principal Accounting Officer) | ||
Pursuant to the requirements of the Securities Act of 1933, this Registration Statement has been signed by the following persons in the capacities and on the dates indicated.
| Signature | Title | Date | ||
|
/s/ John C. Plant |
Chairman and Chief Executive Officer; Director | June 20, 2019 | ||
| John C. Plant | (Principal Executive Officer) | |||
|
/s/ Ken Giacobbe |
Executive Vice President and Chief Financial Officer | June 20, 2019 | ||
| Ken Giacobbe | (Principal Financial Officer) | |||
|
/s/ Paul Myron |
Vice President and Controller | June 20, 2019 | ||
| Paul Myron | (Principal Accounting Officer) |
James F. Albaugh, Amy E. Alving, Christopher L. Ayers, Elmer L. Doty, Rajiv L. Gupta, Sean O. Mahoney, David J. Miller, E. Stanley O’Neal, and Ulrich R. Schmidt, each as a Director, on June 20, 2019, by Paul Myron, their attorney-in-fact.
| /s/ Paul Myron | |
| Paul Myron, attorney-in fact |
C:
| 3 |
| This ‘S-8’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on / Effective on: | 6/20/19 | |||
| 6/17/19 | ||||
| 1/5/18 | 4, S-8 POS | |||
| 6/24/16 | 3, S-8 | |||
| 7/10/13 | S-8 | |||
| List all Filings | ||||