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Howmet Aerospace Inc. — Director's Dealing 2014
Jan 22, 2014
29914_dirs_2014-01-22_2017fb68-02cc-445f-ad7f-9bc68b21c43c.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: 2014-01-21
Reporting Person: Collins Robert Sean (Vice President and Controller)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-01-21 | Common Stock | M | 14665 | $8.33 | Acquired | 51312.88 | Direct |
| 2014-01-21 | Common Stock | S | 14665 | $12.17 | Disposed | 36647.88 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-01-21 | Employee Stock Option (right to buy) | $8.33 | M | 14665 | Disposed | 2015-01-23 | Common Stock (14665) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1125 | Indirect |
| Common Stock | 3973 | Indirect |
Footnotes
F1: Includes shares acquired under the Alcoa Dividend Reinvestment Plan.
F2: This option is 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, 2011.
F3: Employee stock options are granted without payment of consideration.
F4: In the aggregate, a total of 141,728 employee stock options (with various exercise prices and expiration dates) were beneficially owned by the reporting person as of the date of this report.