Home > Insider Trading > Filing (0000004281-14-000067)

Filing Details

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

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