0000004281-14-000054.txt : 20140717
0000004281-14-000054.hdr.sgml : 20140717
20140717160342
ACCESSION NUMBER: 0000004281-14-000054
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140715
FILED AS OF DATE: 20140717
DATE AS OF CHANGE: 20140717
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: KLEINFELD KLAUS
CENTRAL INDEX KEY: 0001268014
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-03610
FILM NUMBER: 14980404
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2014-07-15
0000004281
ALCOA INC
AA
0001268014
KLEINFELD KLAUS
390 PARK AVENUE
NEW YORK,
NY
10022
1
1
0
0
Chairman and CEO
Common Stock
2014-07-15
4
M
0
800000
8.33
A
2206450
D
Common Stock
2014-07-15
4
S
0
800000
16.0827
D
1406450
D
Common Stock
7796
I
By Company 401(k) Plan
Employee Stock Option (right to buy)
8.33
2014-07-15
4
M
0
800000
0
D
2015-01-23
Common Stock
800000
1600000
D
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 $15.93 to $16.1850. 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.
Brenda Hart (Assistant Secretary), by power of attorney
2014-07-17