0000004281-14-000015.txt : 20140121 0000004281-14-000015.hdr.sgml : 20140120 20140121091853 ACCESSION NUMBER: 0000004281-14-000015 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140116 FILED AS OF DATE: 20140121 DATE AS OF CHANGE: 20140121 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ALCOA INC CENTRAL INDEX KEY: 0000004281 STANDARD INDUSTRIAL CLASSIFICATION: ROLLING DRAWING & EXTRUDING OF NONFERROUS METALS [3350] IRS NUMBER: 250317820 STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 201 ISABELLA ST STREET 2: ALCOA CORPORATE CTR CITY: PITTSBURGH STATE: PA ZIP: 15212-5858 BUSINESS PHONE: 4125532576 MAIL ADDRESS: STREET 1: 801 ISABELLA ST STREET 2: ALCOA CORPORATE CTR CITY: PITTSBURGH STATE: PA ZIP: 15212-5858 FORMER COMPANY: FORMER CONFORMED NAME: ALUMINUM CO OF AMERICA DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KLEINFELD KLAUS CENTRAL INDEX KEY: 0001268014 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-03610 FILM NUMBER: 14536832 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2014-01-16 0000004281 ALCOA INC AA 0001268014 KLEINFELD KLAUS 390 PARK AVENUE NEW YORK NY 10022 1 1 0 0 Chairman and CEO Common Stock 2014-01-16 4 A 0 182360 0 A 1175242 D Common Stock 2014-01-16 4 A 0 232959 0 A 1408201 D Common Stock 2014-01-16 4 A 0 287863 0 A 1696064 D Common Stock 7851 I By Company 401(k) Plan Employee Stock Option (right to buy) 11.04 2014-01-16 4 A 0 612680 A 2024-01-16 Common Stock 612680 612680 D The option vests in three equal annual installments beginning January 16, 2015. Employee stock options are granted without payment of consideration. In the aggregate, a total of 5,502,970 employee stock options (with various exercise prices and expiration dates) were beneficially owned by the reporting person as of the date of this report. Brenda Hart (Assistant Secretary), by power of attorney 2014-01-21