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Howmet Aerospace Inc. — Director's Dealing 2007
Jul 20, 2007
29914_dirs_2007-07-19_bb4276f2-c529-4b12-a3f5-a399e433884f.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ALCOA INC (AA)
CIK: 0000004281
Period of Report: 2007-07-17
Reporting Person: CHRISTOPHER WILLIAM F (Executive Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2007-07-17 | Common Stock | M | 82500 | $36.035 | Acquired | 315448 | Direct |
| 2007-07-17 | Common Stock | M | 37840 | $36.295 | Acquired | 353288 | Direct |
| 2007-07-17 | Common Stock | M | 91400 | $35.655 | Acquired | 444688 | Direct |
| 2007-07-17 | Common Stock | M | 72800 | $40.2187 | Acquired | 517488 | Direct |
| 2007-07-17 | Common Stock | M | 12898 | $30.9562 | Acquired | 530386 | Direct |
| 2007-07-17 | Common Stock | M | 57637 | $36.3172 | Acquired | 588023 | Direct |
| 2007-07-17 | Common Stock | M | 50123 | $38.32 | Acquired | 638146 | Direct |
| 2007-07-17 | Common Stock | S | 110 | $46.83 | Disposed | 638036 | Direct |
| 2007-07-17 | Common Stock | S | 1300 | $46.81 | Disposed | 636736 | Direct |
| 2007-07-17 | Common Stock | S | 1000 | $46.80 | Disposed | 635736 | Direct |
| 2007-07-17 | Common Stock | S | 4000 | $46.79 | Disposed | 631736 | Direct |
| 2007-07-17 | Common Stock | S | 11900 | $46.78 | Disposed | 619836 | Direct |
| 2007-07-17 | Common Stock | S | 8322 | $46.77 | Disposed | 611514 | Direct |
| 2007-07-17 | Common Stock | S | 13654 | $46.76 | Disposed | 597860 | Direct |
| 2007-07-17 | Common Stock | S | 80926 | $46.75 | Disposed | 516934 | Direct |
| 2007-07-17 | Common Stock | S | 14700 | $46.74 | Disposed | 502234 | Direct |
| 2007-07-17 | Common Stock | S | 6000 | $46.73 | Disposed | 496234 | Direct |
| 2007-07-17 | Common Stock | S | 900 | $46.72 | Disposed | 495334 | Direct |
| 2007-07-17 | Common Stock | S | 600 | $46.71 | Disposed | 494734 | Direct |
| 2007-07-17 | Common Stock | S | 700 | $46.70 | Disposed | 494034 | Direct |
| 2007-07-17 | Common Stock | S | 2300 | $46.69 | Disposed | 491734 | Direct |
| 2007-07-17 | Common Stock | S | 1400 | $46.68 | Disposed | 490334 | Direct |
| 2007-07-17 | Common Stock | S | 2900 | $46.67 | Disposed | 487434 | Direct |
| 2007-07-17 | Common Stock | S | 2865 | $46.66 | Disposed | 484569 | Direct |
| 2007-07-17 | Common Stock | S | 2735 | $46.65 | Disposed | 481834 | Direct |
| 2007-07-17 | Common Stock | S | 5600 | $46.64 | Disposed | 476234 | Direct |
| 2007-07-17 | Common Stock | S | 4700 | $46.63 | Disposed | 471534 | Direct |
| 2007-07-17 | Common Stock | S | 5800 | $46.62 | Disposed | 465734 | Direct |
| 2007-07-17 | Common Stock | S | 3100 | $46.61 | Disposed | 462634 | Direct |
| 2007-07-17 | Common Stock | S | 6636 | $46.60 | Disposed | 455998 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2007-07-17 | Employee Stock Option (right to buy) | $36.035 | M | 82500 | Disposed | 2012-01-11 | Common Stock (82500) | Direct |
| 2007-07-17 | Employee Stock Option (right of buy) | $36.295 | M | 37840 | Disposed | 2013-01-10 | Common Stock (37840) | Direct |
| 2007-07-17 | Employee Stock Option (right to buy) | $35.655 | M | 91400 | Disposed | 2010-01-15 | Common Stock (91400) | Direct |
| 2007-07-17 | Employee Stock Option (right to buy) | $40.2187 | M | 72800 | Disposed | 2010-01-14 | Common Stock (72800) | Direct |
| 2007-07-17 | Employee Stock Option (right to buy) | $46.3983 | A | 67635 | Acquired | 2010-01-14 | Common Stock (67635) | Direct |
| 2007-07-17 | Employee Stock Option (right to buy) | $30.9562 | M | 12898 | Disposed | 2009-01-13 | Common Stock (12898) | Direct |
| 2007-07-17 | Employee Stock Option (right to buy) | $46.6145 | A | 10445 | Acquired | 2009-01-13 | Common Stock (10445) | Direct |
| 2007-07-17 | Employee Stock Option (right to buy) | $36.3172 | M | 57637 | Disposed | 2008-01-13 | Common Stock (57637) | Direct |
| 2007-07-17 | Employee Stock Option (right to buy) | $46.7416 | A | 50521 | Acquired | 2008-01-13 | Common Stock (50521) | Direct |
| 2007-07-17 | Employee Stock Option (right to buy) | $38.32 | M | 50123 | Disposed | 2009-01-13 | Common Stock (50123) | Direct |
| 2007-07-17 | Employee Stock Option (right to buy) | $46.6403 | A | 45155 | Acquired | 2009-01-13 | Common Stock (45155) | Direct |
Footnotes
F1: This Form 4 is 1 of 3 Form 4's filed to report the reporting person's transactions on July 17, 2007. Refer to all of the Form 4's filed this date for the reporting person.
F2: This option is part of an option grant that vested in three equal annual installments beginning January 11, 2003.
F3: Employee stock options are granted without payment of consideration.
F4: In the aggregate, a total of 430,786 employee stock options (with various prices and expiration dates) were beneficially owned by the reporting person as of the date of this report.
F5: 1/3 of this option grant vested on January 15, 2005 and the remainder vested on December 31, 2005.
F6: This option is part of an option grant that vested in three equal annual installments beginning January 14, 2001.
F7: These are reload stock options granted in connection with the reporting person's exercise of outstanding options and payment of the option exercise costs by delivering to the Company (or selling) shares, as applicable, as reported herein.