Filing Details
- Accession Number:
- 0000004281-15-000009
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-01-16 16:03:59
- Reporting Period:
- 2015-01-14
- Filing Date:
- 2015-01-16
- Accepted Time:
- 2015-01-16 16:03:59
- 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 |
|---|---|---|---|---|---|---|---|
| 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 | 2015-01-14 | 400,000 | $8.33 | 1,806,450 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-01-14 | 400,000 | $15.11 | 1,406,450 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2015-01-14 | 400,000 | $8.33 | 1,806,450 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-01-14 | 316,448 | $14.76 | 1,490,002 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| 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 | 2015-01-14 | 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 |
|---|---|---|---|---|---|---|
| 0 | 2015-01-23 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 7,843 | 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 $15.05 to $15.31. 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 price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $14.59 to $14.89. 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.
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