Filing Details

Accession Number:
0000004281-11-000069
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-06-01 17:05:23
Reporting Period:
2011-05-27
Filing Date:
2011-06-01
Accepted Time:
2011-06-01 16:05:23
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
1308651 Helmut Wieser 201 Isabella Street
Pittsburgh PA 15212
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 2011-05-31 50,000 $8.33 195,436 No 4 M Direct
Common Stock Disposition 2011-05-31 70,000 $16.53 125,436 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 Phantom Stock Units Acquisiton 2011-05-27 46 $16.48 46 $0.00
Common Stock Employee Stock Option (right to buy) Disposition 2011-05-31 50,000 $0.00 50,000 $8.33
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
4,169 No 4 A Direct
343,200 2015-01-23 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 3,952 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 $16.51 to $16.56. 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. 1 For 1
  3. Phantom stock units were acquired under the Alcoa Deferred Compensation Plan and are to be paid out in cash after termination of employment. The reporting person may transfer the phantom stock into an alternative investment account under the Plan at times permitted under the Plan.
  4. The option, representing on the date of grant a right to purchase a total of 493,200 shares, is exercisable in three equal annual installments beginning on January 23, 2010, which was the first anniversary of the date of grant.
  5. Employee stock options are granted without payment of consideration.
  6. In the aggregate, a total of 892,440 employee stock options (with various exercise prices and expiration dates) were beneficially owned by the reporting person as of the date of this report.