Wieser Helmut 4

4 · ALCOA INC · Filed Jun 1, 2011

Form 4

Period: 2011-05-27

Executive Vice President

Transactions

Sale
Common Stock
2011-05-31$16.53/sh−70,000$1,157,065→ 125,436 total
Award
Phantom Stock Units
2011-05-27$16.48/sh+46$758→ 4,169 total
→ Common Stock (46 underlying)
Exercise/Conversion
Common Stock
2011-05-31$8.33/sh+50,000$416,500→ 195,436 total
Exercise/Conversion
Employee Stock Option (right to buy)
2011-05-31−50,000→ 343,200 total
Exercise: $8.33Exp: 2015-01-23→ Common Stock (50,000 underlying)

Holdings

Footnotes (6)

[F1]The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $16.51 to $16.56. 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]1 For 1
[F3]Phantom stock units were acquired under the Alcoa Deferred Compensation Plan and are to be paid out in cash after termination of employment. The reporting person may transfer the phantom stock into an alternative investment account under the Plan at times permitted under the Plan.
[F4]The option, representing on the date of grant a right to purchase a total of 493,200 shares, is exercisable in three equal annual installments beginning on January 23, 2010, which was the first anniversary of the date of grant.
[F5]Employee stock options are granted without payment of consideration.
[F6]In the aggregate, a total of 892,440 employee stock options (with various exercise prices and expiration dates) were beneficially owned by the reporting person as of the date of this report.

Documents

1 file