1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Employee Stock Option (right to buy)
|
Â
(1)
|
01/17/2014 |
Common Stock
|
4,592
|
$
28.79
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(2)
|
01/23/2015 |
Common Stock
|
16,867
|
$
8.33
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(3)
|
01/26/2020 |
Common Stock
|
15,240
|
$
13.54
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(4)
|
01/25/2021 |
Common Stock
|
5,340
|
$
16.24
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(5)
|
01/20/2022 |
Common Stock
|
99,600
|
$
10.17
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(6)
|
01/16/2023 |
Common Stock
|
90,240
|
$
8.88
|
D
|
Â
|
Phantom Stock Units
|
Â
(7)
|
Â
(7)
|
Common Stock
|
1,545
|
$
(8)
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) |
The option vested in three equal annual installments beginning January 17, 2009. |
(2) |
The option was part of an option grant that vested in three equal annual installments beginning January 23, 2010. The remaining portion of the grant held by the reporting person as shown in the table vested on January 23, 2012. |
(3) |
The option vested in three equal annual installments beginning January 26, 2011. |
(4) |
The option vests in three equal annual installments beginning January 25, 2012. |
(5) |
The option vests in three equal annual installments beginning January 20, 2013. |
(6) |
The option vests in three equal annual installments beginning January 16, 2014. |
(7) |
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. |
(8) |
1 For 1 |