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Howmet Aerospace Inc. — Director's Dealing 2012
Jul 3, 2012
29914_dirs_2012-07-03_82ec52ad-8663-4bcc-ae14-1c1ecc96e095.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: 2012-06-30
Reporting Person: SCHACHT HENRY B (Senior Advisor to the Board)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-06-30 | Common Stock | M | 2144 | — | Acquired | 21265.0553 | Direct |
| 2012-06-30 | Common Stock | D | 2144 | $8.67 | Disposed | 19121.0553 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-06-30 | Phantom Stock Units | $ | M | 2144 | Disposed | 2012-06-30 | Common Stock (2144) | Direct |
Footnotes
F1: On June 30, 2012, 2,144 of the reporting person's phantom stock units held under the Alcoa Deferred Fee Plan for Directors (the "Plan") were settled for cash in accordance with the terms of the Plan after termination of service as a director. Each phantom stock unit was the economic equivalent of one share of Alcoa Inc. common stock.
F2: Includes shares acquired under the Alcoa Dividend Reinvestment Plan.
F3: The report filed on July 5, 2011 incorrectly stated the balance as 37,430 units as of June 30, 2011 instead of 35,352 units.