0000004281-14-000067.txt : 20141016 0000004281-14-000067.hdr.sgml : 20141016 20141016160431 ACCESSION NUMBER: 0000004281-14-000067 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141014 FILED AS OF DATE: 20141016 DATE AS OF CHANGE: 20141016 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: 390 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022-4608 BUSINESS PHONE: 2128362732 MAIL ADDRESS: STREET 1: 390 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022-4608 FORMER COMPANY: FORMER CONFORMED NAME: ALCOA INC DATE OF NAME CHANGE: 19990105 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: 141159787 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2014-10-14 0000004281 ALCOA INC. AA 0001268014 KLEINFELD KLAUS 390 PARK AVENUE NEW YORK, NY 10022 1 1 0 0 Chairman and CEO Common Stock 2014-10-14 4 M 0 800000 8.33 A 2206450 D Common Stock 2014-10-14 4 S 0 800000 14.3327 D 1406450 D Common Stock 7836 I By Company 401(k) Plan Employee Stock Option (right to buy) 8.33 2014-10-14 4 M 0 800000 0 D 2015-01-23 Common Stock 800000 800000 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 $14.06 to $14.71. 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 2014-10-16