0000004281-14-000016.txt : 20140122 0000004281-14-000016.hdr.sgml : 20140122 20140122160433 ACCESSION NUMBER: 0000004281-14-000016 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140121 FILED AS OF DATE: 20140122 DATE AS OF CHANGE: 20140122 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: Collins Robert Sean CENTRAL INDEX KEY: 0001590197 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-03610 FILM NUMBER: 14540354 MAIL ADDRESS: STREET 1: ALCOA INC. STREET 2: 390 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022-4608 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2014-01-21 0000004281 ALCOA INC AA 0001590197 Collins Robert Sean 390 PARK AVENUE NEW YORK NY 10022 0 1 0 0 Vice President and Controller Common Stock 2014-01-21 4 M 0 14665 8.33 A 51312.88 D Common Stock 2014-01-21 4 S 0 14665 12.17 D 36647.88 D Common Stock 1125 I By Wife in Company 401(k) Plan Common Stock 3973 I By Company 401(k) Plan Employee Stock Option (right to buy) 8.33 2014-01-21 4 M 0 14665 0 D 2015-01-23 Common Stock 14665 14668 D Includes shares acquired under the Alcoa Dividend Reinvestment Plan. 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. Employee stock options are granted without payment of consideration. 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. Brenda Hart (Assistant Secretary), by power of attorney 2014-01-22