Filing Details
- Accession Number:
- 0000004281-14-000053
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-07-17 16:01:37
- Reporting Period:
- 2014-07-16
- Filing Date:
- 2014-07-17
- Accepted Time:
- 2014-07-17 16:01:37
- 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 | 2014-07-16 | 14,668 | $8.33 | 49,988 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-07-16 | 10,107 | $16.43 | 39,881 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2014-07-16 | 2,280 | $16.43 | 37,601 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | 2014-07-16 | 14,668 | $0.00 | 14,668 | $8.33 |
| 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 |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,120 | Indirect | By Wife in Company 401(k) Plan |
| Common Stock | 3,954 | Indirect | By Company 401(k) Plan |
Footnotes
- Includes shares acquired under the Alcoa Dividend Reinvestment Plan.
- The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $16.4049 to $16.43. 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.
- The option, representing a right to purchase a total of 44,000 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.
- Employee stock options are granted without payment of consideration.
Billionaire Hedge Funds
