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Howmet Aerospace Inc. — Director's Dealing 2014
Jul 11, 2014
29914_dirs_2014-07-11_c317185e-512a-48d4-b153-e5c52b0fafa7.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: 2014-07-10
Reporting Person: Harvey Roy Christopher (Executive Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-07-10 | Common Stock | M | 12427 | $8.33 | Acquired | 24706 | Direct |
| 2014-07-10 | Common Stock | S | 8822 | $15.5393 | Disposed | 15884 | Direct |
| 2014-07-10 | Common Stock | M | 18720 | $13.54 | Acquired | 34604 | Direct |
| 2014-07-10 | Common Stock | S | 17258 | $15.5393 | Disposed | 17346 | Direct |
| 2014-07-10 | Common Stock | M | 20720 | $10.17 | Acquired | 38066 | Direct |
| 2014-07-10 | Common Stock | S | 16260 | $15.5393 | Disposed | 21806 | Direct |
| 2014-07-10 | Common Stock | M | 13920 | $8.88 | Acquired | 35726 | Direct |
| 2014-07-10 | Common Stock | S | 10160 | $15.5393 | Disposed | 25566 | Direct |
| 2014-07-10 | Common Stock | S | 6644 | $15.5393 | Disposed | 18922 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-07-10 | Employee Stock Option (right to buy) | $8.33 | M | 12427 | Disposed | 2015-01-23 | Common Stock (12427) | Direct |
| 2014-07-10 | Employee Stock Option (right to buy) | $13.54 | M | 18720 | Disposed | 2020-01-26 | Common Stock (18720) | Direct |
| 2014-07-10 | Employee Stock Option (right to buy) | $10.17 | M | 20720 | Disposed | 2022-01-20 | Common Stock (20720) | Direct |
| 2014-07-10 | Employee Stock Option (right to buy) | $8.88 | M | 13920 | Disposed | 2023-01-16 | Common Stock (13920) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 7568 | Indirect |
Footnotes
F1: The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $15.52 to $15.55. The reporting person undertakes to provide to Alcoa Inc., any security holder of Alcoa Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
F2: This option was part of an option grant that vested in three equal annual installments beginning January 23, 2010. The installment exercised by the reporting person as reported herein vested on January 23, 2012.
F3: Employee stock options are granted without payment of consideration.
F4: In the aggregate, a total of 167,000 employee stock options (with various exercise prices and expiration dates) were beneficially owned by the reporting person as of the date of this report.
F5: This option was part of an option grant that vested in three equal annual installments beginning January 26, 2011. The installments exercised by the reporting person as reported herein vested in two equal annual installments on January 26, 2012 and January 26, 2013.
F6: This option is part of an option grant that vests in three equal annual installments beginning January 20, 2013. The installments exercised by the reporting person as reported herein vested on January 20, 2013 and January 20, 2014.
F7: This option is part of an option grant that vests in three equal annual installments beginning January 16, 2014. The installment exercised by the reporting person as reported herein vested on January 16, 2014.