Filing Details

Accession Number:
0000004281-14-000067
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-10-16 16:04:31
Reporting Period:
2014-10-14
Filing Date:
2014-10-16
Accepted Time:
2014-10-16 16:04:31
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
1268014 Klaus Kleinfeld 390 Park Avenue
New York, NY 10022
Chairman And Ceo Yes 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 2014-10-14 800,000 $8.33 2,206,450 No 4 M Direct
Common Stock Disposition 2014-10-14 800,000 $14.33 1,406,450 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M 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 2014-10-14 800,000 $0.00 800,000 $8.33
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
800,000 2015-01-23 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 7,836 Indirect By Company 401(k) Plan
Footnotes
  1. The transactions reported on this Form 4 (exercise of employee stock options expiring on January 23, 2015 and sale of shares acquired upon the exercise) were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 18, 2014. A portion of the proceeds of the sale of shares was used to pay the exercise price of the stock options and applicable withholding taxes.
  2. The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $14.06 to $14.71. 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, representing a right to purchase a total of 2,400,000 shares, became exercisable in three equal annual installments beginning on January 23, 2010, which was the first anniversary of the date on which the option was granted.
  4. Employee stock options are granted without payment of consideration.