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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

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
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
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

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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	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

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.
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.
Employee stock options are granted without payment of consideration.
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.
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.
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.
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.