Filing Details
- Accession Number:
- 0000004281-14-000016
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-01-22 16:04:33
- Reporting Period:
- 2014-01-21
- Filing Date:
- 2014-01-22
- Accepted Time:
- 2014-01-22 16:04:33
- 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 |
---|---|---|---|---|---|---|---|
1590197 | Sean Robert Collins | 390 Park Avenue New York NY 10022 | Vice President And Controller | 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 | 2014-01-21 | 14,665 | $8.33 | 51,313 | No | 4 | M | Direct | |
Common Stock | Disposition | 2014-01-21 | 14,665 | $12.17 | 36,648 | 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 | 2014-01-21 | 14,665 | $0.00 | 14,665 | $8.33 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
14,668 | 2015-01-23 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 1,125 | Indirect | By Wife in Company 401(k) Plan |
Common Stock | 3,973 | Indirect | By Company 401(k) Plan |
Footnotes
- Includes shares acquired under the Alcoa Dividend Reinvestment Plan.
- This option is 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, 2011.
- Employee stock options are granted without payment of consideration.
- In the aggregate, a total of 141,728 employee stock options (with various exercise prices and expiration dates) were beneficially owned by the reporting person as of the date of this report.