SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported): October 15, 2013 (October 9, 2013)
(Exact name of Registrant as specified in its charter)
(State or Other Jurisdiction
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Office of Investor Relations 212-836-2674
Office of the Secretary 212-836-2732
(Registrants telephone number, including area code)
(Former Name or Former Address, if Changed Since Last Report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the Registrant under any of the following provisions:
|¨||Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)|
|¨||Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)|
|¨||Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))|
|¨||Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))|
Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
|(b)||Departure of Principal Accounting Officer|
On October 9, 2013, Graeme W. Bottger, Vice President and Controller of Alcoa Inc. (the Company), was elected Executive Vice President and President of the Companys Global Business Services, effective October 21, 2013. As a result of this appointment, Mr. Bottger will no longer serve as the Companys principal accounting officer on and after the effective date.
|(c)||Appointment of New Principal Accounting Officer|
On October 9, 2013, Robert S. Collins was elected Vice President and Controller of the Company, succeeding Mr. Bottger, effective October 21, 2013.
Mr. Collins, 47, is currently the Companys Assistant Controller, a position he has held since May 2009. As Assistant Controller, Mr. Collins has been responsible for the Companys global financial accounting policies, including serving as a primary liaison with the Companys external auditors and overseeing financial functions. Prior to his role as Assistant Controller, he was Director of Financial Transactions and Policy, providing financial accounting support of the Companys transactions in global mergers, acquisitions and divestitures. Before joining the Company in 2005, Mr. Collins worked in the audit and mergers and acquisitions practices at PricewaterhouseCoopers LLP for 14 years.
The Company will enter into an indemnity agreement with Mr. Collins in the form entered into with directors and officers of the Company (filed as Exhibit 10(j) to the Companys Annual Report on Form 10-K for the year ended December 31, 1987).
A copy of the Companys press release announcing Mr. Bottgers new role and Mr. Collinss appointment is attached hereto as Exhibit 99 and is incorporated herein by reference.
|Item 9.01.||Financial Statements and Exhibits.|
The following is filed as an exhibit to this report:
|99||Alcoa Inc. press release dated October 10, 2013.|
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
|Title:||Executive Vice President, Chief Legal|
|Officer and Secretary|
Date: October 15, 2013
|99||Alcoa Inc. press release dated October 10, 2013.|
October 10, 2013
Graeme Bottger Named President, Alcoa Global Business Services; Robert Collins Succeeds Bottger as Company Controller
NEW YORK(BUSINESS WIRE)Alcoa (NYSE:AA) today announced that Graeme Bottger has been named Executive Vice President and President of Global Business Services (GBS). Assistant Controller Robert Collins will succeed Bottger in the role of Vice President and Controller. These changes take effect on October 21st. Mark Davies, who has been President of GBS since 2012, will be taking a role outside of the Company.
As GBS President, Bottger will oversee Alcoas procurement, shared services and information technology organizations. He has held a wide variety of corporate and business unit operational and financial roles since joining Alcoa in 1980.
Collins has been Assistant Controller since 2009 with responsibility for the Companys global financial accounting policies. He joined Alcoa in 2005.
Graeme and Bob have successful track records in increasingly challenging roles and are ideally qualified to lead functions critical to Alcoa, said Klaus Kleinfeld, Alcoa Chairman and Chief Executive Officer. Both have been instrumental to the success of our cash sustainability program, which has strengthened Alcoas cost structure and balance sheet. These appointments demonstrate Alcoas strong talent pipeline.
Bottger was named Controller in July 2010 and has had oversight of the Accounting and Financial Planning and Analysis departments that play a key role in enabling Alcoa to be the first major company to report its earnings each quarter. A former Chief Financial Officer of Engineered Products and Solutions, he has also worked in Alcoas GBS, procurement, IT and sales organizations in Australia and the United States. He earned a Bachelors Degree in Commerce and Computer Science at Australias Deakin University.
Prior to his role as Assistant Controller, Collins was involved in M&A deals as Alcoas Director of Financial Transactions and Policy. Before Alcoa, Collins worked in the audit and M&A practices at PricewaterhouseCoopers for 14 years. He is a Certified Public Accountant and earned a Master of Science in Accounting at the University of Virginia.
Bottger will report to Klaus Kleinfeld. Collins will report to Alcoa Executive Vice President and Chief Financial Officer, William Oplinger.
Alcoa is the worlds leading producer of primary and fabricated aluminum, as well as the worlds largest miner of bauxite and refiner of alumina. In addition to inventing the modern-day aluminum industry, Alcoa innovation has been behind major milestones in the aerospace, automotive, packaging, building and construction, commercial transportation, consumer electronics, and industrial markets over the past 125 years. Among the solutions Alcoa markets are flat-rolled products, hard alloy extrusions, and forgings, as well as Alcoa® wheels, fastening systems, precision and investment castings, and building systems in addition to its expertise in other light metals such as titanium and nickel-based super alloys. Sustainability is an integral part of Alcoas operating practices and the product design and engineering it provides to customers. Alcoa has been a member of the Dow Jones Sustainability Index for 12 consecutive years and approximately 75 percent of all of the aluminum ever produced since 1888 is still in active use today. Alcoa employs approximately 61,000 people in 30 countries across the world. For more information, visit www.alcoa.com, follow @Alcoa on Twitter at www.twitter.com/Alcoa and follow Alcoa on Facebook at www.facebook.com/Alcoa.