Filing Details

Accession Number:
0000004281-14-000052
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-07-11 17:03:02
Reporting Period:
2014-07-10
Filing Date:
2014-07-11
Accepted Time:
2014-07-11 17:03:02
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
1612161 Christopher Roy Harvey 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 2014-07-10 12,427 $8.33 24,706 No 4 M Direct
Common Stock Disposition 2014-07-10 8,822 $15.54 15,884 No 4 S Direct
Common Stock Acquisiton 2014-07-10 18,720 $13.54 34,604 No 4 M Direct
Common Stock Disposition 2014-07-10 17,258 $15.54 17,346 No 4 S Direct
Common Stock Acquisiton 2014-07-10 20,720 $10.17 38,066 No 4 M Direct
Common Stock Disposition 2014-07-10 16,260 $15.54 21,806 No 4 S Direct
Common Stock Acquisiton 2014-07-10 13,920 $8.88 35,726 No 4 M Direct
Common Stock Disposition 2014-07-10 10,160 $15.54 25,566 No 4 S Direct
Common Stock Disposition 2014-07-10 6,644 $15.54 18,922 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 2014-07-10 12,427 $0.00 12,427 $8.33
Common Stock Employee Stock Option (right to buy) Disposition 2014-07-10 18,720 $0.00 18,720 $13.54
Common Stock Employee Stock Option (right to buy) Disposition 2014-07-10 20,720 $0.00 20,720 $10.17
Common Stock Employee Stock Option (right to buy) Disposition 2014-07-10 13,920 $0.00 13,920 $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
0 2020-01-26 No 4 M Direct
10,360 2022-01-20 No 4 M Direct
27,840 2023-01-16 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 7,568 Indirect By Company 401(k) Plan
Footnotes
  1. The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $15.52 to $15.55. 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.
  2. This option was part of an option grant that vested in three equal annual installments beginning January 23, 2010. The installment exercised by the reporting person as reported herein vested on January 23, 2012.
  3. Employee stock options are granted without payment of consideration.
  4. In the aggregate, a total of 167,000 employee stock options (with various exercise prices and expiration dates) were beneficially owned by the reporting person as of the date of this report.
  5. This option was part of an option grant that vested in three equal annual installments beginning January 26, 2011. The installments exercised by the reporting person as reported herein vested in two equal annual installments on January 26, 2012 and January 26, 2013.
  6. This option is part of an option grant that vests in three equal annual installments beginning January 20, 2013. The installments exercised by the reporting person as reported herein vested on January 20, 2013 and January 20, 2014.
  7. 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.