Filing Details

Accession Number:
0000004281-14-000027
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2014-01-31 16:05:12
Reporting Period:
2014-01-29
Filing Date:
2014-01-31
Accepted Time:
2014-01-31 16:05:12
Original Submission Date:
2014-01-30
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
4281 Alcoa Inc AA Rolling Drawing & Extruding Of Nonferrous Metals (3350) 250317820
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1510406 M Olivier Jarrault 390 Park Avenue
New York NY 10022
Executive Vice President No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2014-01-29 17,500 $8.33 260,853 No 4 M Direct
Common Stock Disposition 2014-01-29 14,932 $12.16 245,921 No 4 S Direct
Common Stock Acquisiton 2014-01-29 27,000 $8.88 272,921 No 4 M Direct
Common Stock Disposition 2014-01-29 23,630 $12.16 249,291 No 4 S Direct
Common Stock Acquisiton 2014-01-29 17,500 $8.33 266,791 No 4 M Direct
Common Stock Disposition 2014-01-29 17,500 $12.16 249,291 No 4 S Direct
Common Stock Acquisiton 2014-01-29 27,000 $8.88 276,291 No 4 M Direct
Common Stock Disposition 2014-01-29 27,000 $12.16 249,291 No 4 S Direct
Common Stock Disposition 2014-01-29 2,969 $12.16 246,322 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Employee Stock Option (right to buy) Disposition 2014-01-29 35,000 $0.00 35,000 $8.33
Common Stock Employee Stock Option (right to buy) Disposition 2014-01-29 54,000 $0.00 54,000 $8.88
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2015-01-23 No 4 M Direct
110,290 2023-01-16 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 16,385 Indirect By Company 401(k) Plan
Footnotes
  1. This amendment is being filed to correct the transaction code in Table I, column 3, lines 2 and 4, from "F" to "S".
  2. The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $12.0001 to $12.17. The reporting person undertakes to provide to Alcoa Inc., any security holder of Alcoa Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
  3. The option is part of an option grant that vests in three equal annual installments beginning January 23, 2010. One-half of the options exercised by the reporting person vested on January 23, 2010 and one-half vested on January 23, 2011.
  4. Employee stock options are granted without payment of consideration.
  5. In the aggregate, a total of 440,720 employee stock options (with various exercise prices and expiration dates) were beneficially owned by the reporting person as of the date of this report.
  6. This option is part of an option grant that vests in three equal annual installments beginning January 16, 2014. The installment exercised by the reporting person as reported herein vested on January 16, 2014.