SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
Oplinger William F

(Last) (First) (Middle)
390 PARK AVENUE

(Street)
NEW YORK NY 10022

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
04/01/2013
3. Issuer Name and Ticker or Trading Symbol
ALCOA INC [ AA ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Executive VP & CFO
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 35,461.1346 D
Common Stock 3,462 I By Company 401(k) Plan
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option (right to buy) (1) 01/17/2014 Common Stock 4,592 28.79 D
Employee Stock Option (right to buy) (2) 01/23/2015 Common Stock 16,867 8.33 D
Employee Stock Option (right to buy) (3) 01/26/2020 Common Stock 15,240 13.54 D
Employee Stock Option (right to buy) (4) 01/25/2021 Common Stock 5,340 16.24 D
Employee Stock Option (right to buy) (5) 01/20/2022 Common Stock 99,600 10.17 D
Employee Stock Option (right to buy) (6) 01/16/2023 Common Stock 90,240 8.88 D
Phantom Stock Units (7) (7) Common Stock 1,545 (8) D
Explanation of Responses:
1. The option vested in three equal annual installments beginning January 17, 2009.
2. The option was part of an option grant that vested in three equal annual installments beginning January 23, 2010. The remaining portion of the grant held by the reporting person as shown in the table vested on January 23, 2012.
3. The option vested in three equal annual installments beginning January 26, 2011.
4. The option vests in three equal annual installments beginning January 25, 2012.
5. The option vests in three equal annual installments beginning January 20, 2013.
6. The option vests in three equal annual installments beginning January 16, 2014.
7. Phantom stock units were acquired under the Alcoa Deferred Compensation Plan and are to be paid out in cash after termination of employment. The reporting person may transfer the phantom stock into an alternative investment account under the Plan at times permitted under the Plan.
8. 1 For 1
Remarks:
Brenda Hart (Assistant Secretary), by power of attorney 04/05/2013
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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