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Howmet Aerospace Inc. — Director's Dealing 2011
Nov 28, 2011
29914_dirs_2011-11-28_d41fe3e5-ec86-4de7-8aa0-6a5ea8dba809.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: 2011-11-25
Reporting Person: KLEINFELD KLAUS (Director, Chairman and CEO)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-11-25 | Phantom Stock Units | $ | A | 801 | Acquired | Common Stock (801) | Direct |
Footnotes
F1: 1 For 1
F2: Phantom stock units were acquired under the Alcoa Deferred Compensation Plan and are to be paid out in cash after termination of employment. The reporting person may transfer the phantom stock into an alternative investment account under the Plan at times permitted under the Plan.
F3: As of 11/25/2011, the reporting person also held 3,465.9277 phantom stock units under the Alcoa Deferred Fee Plan for Directors (the "Plan") which are to be paid out in cash after Board service ends. This total includes 9.4173 units held under the Plan that were inadvertently omitted by the plan administrator from the total calculated as of 11/4/2011 (at a price of $10.795/share) reported in footnote (3) of the reporting person's Form 4 filed on November 7, 2011.