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Howmet Aerospace Inc. — Director's Dealing 2007
Jul 17, 2007
29914_dirs_2007-07-17_b18469be-4853-45f0-a687-85d29e7e7fb9.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: 2007-07-13
Reporting Person: Lucot Joseph R (VP - Corporate Controller)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2007-07-13 | Common Stock | M | 20020 | $41.82 | Acquired | 69077.0129 | Direct |
| 2007-07-13 | Common Stock | S | 1233 | $47.25 | Disposed | 67844.0129 | Direct |
| 2007-07-13 | Common Stock | S | 8900 | $47.245 | Disposed | 58944.0129 | Direct |
| 2007-07-13 | Common Stock | S | 8600 | $47.24 | Disposed | 50344.0129 | Direct |
| 2007-07-13 | Common Stock | M | 18050 | $39.4008 | Acquired | 68394.0129 | Direct |
| 2007-07-13 | Common Stock | S | 100 | $47.26 | Disposed | 68294.0129 | Direct |
| 2007-07-13 | Common Stock | S | 1500 | $47.25 | Disposed | 66794.0129 | Direct |
| 2007-07-13 | Common Stock | S | 14600 | $47.24 | Disposed | 52194.0129 | Direct |
| 2007-07-13 | Common Stock | S | 130 | $47.22 | Disposed | 52064.0129 | Direct |
| 2007-07-13 | Common Stock | M | 11316 | $38.425 | Acquired | 63380.0129 | Direct |
| 2007-07-13 | Common Stock | F | 10028 | $47.35 | Disposed | 53352.0129 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2007-07-13 | Employee Stock Option (right to buy) | $41.82 | M | 20020 | Disposed | 2009-01-13 | Common Stock (20020) | Direct |
| 2007-07-13 | Employee Stock Option (right to buy) | $47.2453 | A | 18632 | Acquired | 2009-01-13 | Common Stock (18632) | Direct |
| 2007-07-13 | Employee Stock Option (right to buy) | $39.4008 | M | 18050 | Disposed | 2008-01-13 | Common Stock (18050) | Direct |
| 2007-07-13 | Employee Stock Option (right to buy) | $47.2453 | A | 16241 | Acquired | 2008-01-13 | Common Stock (16241) | Direct |
| 2007-07-13 | Employee Stock Option (right to buy) | $38.425 | M | 11316 | Disposed | 2011-01-12 | Common Stock (11316) | Direct |
| 2007-07-13 | Employee Stock Option (right to buy) | $47.35 | A | 10028 | Acquired | 2011-01-12 | Common Stock (10028) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 272 | Indirect |
Footnotes
F1: Includes shares acquired under the Alcoa Dividend Reinvestment Plan.
F2: Employee stock options are granted without payment of consideration.
F3: In the aggregate, a total of 176,069 employee stock options (with various exercise prices and expiration dates) were beneficially owned by the reporting person as of the date of this report.
F4: 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.