0000004281-13-000016.txt : 20130118 0000004281-13-000016.hdr.sgml : 20130118 20130118161233 ACCESSION NUMBER: 0000004281-13-000016 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130116 FILED AS OF DATE: 20130118 DATE AS OF CHANGE: 20130118 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KLEINFELD KLAUS CENTRAL INDEX KEY: 0001268014 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-03610 FILM NUMBER: 13537716 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ALCOA INC CENTRAL INDEX KEY: 0000004281 STANDARD INDUSTRIAL CLASSIFICATION: ROLLING DRAWING & EXTRUDING OF NONFERROUS METALS [3350] IRS NUMBER: 250317820 STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 201 ISABELLA ST STREET 2: ALCOA CORPORATE CTR CITY: PITTSBURGH STATE: PA ZIP: 15212-5858 BUSINESS PHONE: 4125532576 MAIL ADDRESS: STREET 1: 801 ISABELLA ST STREET 2: ALCOA CORPORATE CTR CITY: PITTSBURGH STATE: PA ZIP: 15212-5858 FORMER COMPANY: FORMER CONFORMED NAME: ALUMINUM CO OF AMERICA DATE OF NAME CHANGE: 19920703 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2013-01-16 0000004281 ALCOA INC AA 0001268014 KLEINFELD KLAUS 201 ISABELLA STREET PITTSBURGH PA 15212 1 1 0 0 Chairman and CEO Common Stock 2013-01-16 4 A 0 188445 0 A 953723 D Common Stock 2013-01-16 4 A 0 240731 0 A 1194454 D Common Stock 6038 I By Company 401(k) Plan Employee Stock Option (right to buy) 8.88 2013-01-16 4 A 0 732150 A 2023-01-16 Common Stock 732150 732150 D The option vests in three equal annual installments beginning January 16, 2014. Employee stock options are granted without payment of consideration. In the aggregate, a total of 4,979,576 employee stock options (with various exercise prices and expiration dates) were beneficially owned by the reporting person as of the date of this report. Brenda Hart (Assistant Secretary), by power of attorney 2013-01-18