0000004281-14-000026.txt : 20140130
0000004281-14-000026.hdr.sgml : 20140130
20140130160332
ACCESSION NUMBER: 0000004281-14-000026
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140129
FILED AS OF DATE: 20140130
DATE AS OF CHANGE: 20140130
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Jarrault Olivier M
CENTRAL INDEX KEY: 0001510406
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-03610
FILM NUMBER: 14560800
MAIL ADDRESS:
STREET 1: ALCOA INC.
STREET 2: 390 PARK AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10022
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2014-01-29
0000004281
ALCOA INC
AA
0001510406
Jarrault Olivier M
390 PARK AVENUE
NEW YORK
NY
10022
0
1
0
0
Executive Vice President
Common Stock
2014-01-29
4
M
0
17500
8.33
A
260853
D
Common Stock
2014-01-29
4
F
0
14932
12.1554
D
245921
D
Common Stock
2014-01-29
4
M
0
27000
8.88
A
272921
D
Common Stock
2014-01-29
4
F
0
23630
12.1554
D
249291
D
Common Stock
2014-01-29
4
M
0
17500
8.33
A
266791
D
Common Stock
2014-01-29
4
S
0
17500
12.1554
D
249291
D
Common Stock
2014-01-29
4
M
0
27000
8.88
A
276291
D
Common Stock
2014-01-29
4
S
0
27000
12.1554
D
249291
D
Common Stock
2014-01-29
4
S
0
2969
12.1554
D
246322
D
Common Stock
16385
I
By Company 401(k) Plan
Employee Stock Option (right to buy)
8.33
2014-01-29
4
M
0
35000
0
D
2015-01-23
Common Stock
35000
0
D
Employee Stock Option (right to buy)
8.88
2014-01-29
4
M
0
54000
0
D
2023-01-16
Common Stock
54000
110290
D
The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $12.0001 to $12.17. 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 is part of an option grant that vests in three equal annual installments beginning January 23, 2010. One-half of the options exercised by the reporting person vested on January 23, 2010 and one-half vested on January 23, 2011.
Employee stock options are granted without payment of consideration.
In the aggregate, a total of 440,720 employee stock options (with various exercise prices and expiration dates) were beneficially owned by the reporting person as of the date of this report.
This option is part of an option grant that vests in three equal annual installments beginning January 16, 2014. The installment exercised by the reporting person as reported herein vested on January 16, 2014.
Brenda Hart (Assistant Secretary), by power of attorney
2014-01-30