Sec Form 4 Filing - Harvey Roy Christopher @ ALCOA INC - 2014-07-10

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Harvey Roy Christopher
2. Issuer Name and Ticker or Trading Symbol
ALCOA INC [ AA]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Executive Vice President
(Last) (First) (Middle)
390 PARK AVENUE
3. Date of Earliest Transaction (MM/DD/YY)
07/10/2014
(Street)
NEW YORK,, NY10022
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 07/10/2014 M 12,427 A $ 8.33 24,706 D
Common Stock 07/10/2014 S 8,822 D $ 15.5393 ( 1 ) 15,884 D
Common Stock 07/10/2014 M 18,720 A $ 13.54 34,604 D
Common Stock 07/10/2014 S 17,258 D $ 15.5393 ( 1 ) 17,346 D
Common Stock 07/10/2014 M 20,720 A $ 10.17 38,066 D
Common Stock 07/10/2014 S 16,260 D $ 15.5393 ( 1 ) 21,806 D
Common Stock 07/10/2014 M 13,920 A $ 8.88 35,726 D
Common Stock 07/10/2014 S 10,160 D $ 15.5393 ( 1 ) 25,566 D
Common Stock 07/10/2014 S 6,644 D $ 15.5393 ( 1 ) 18,922 D
Common Stock 7,568 I By Company 401(k) Plan
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option (right to buy) $ 8.33 07/10/2014 M 12,427 ( 2 ) 01/23/2015 Common Stock 12,427 $ 0 ( 3 ) 0 ( 4 ) D
Employee Stock Option (right to buy) $ 13.54 07/10/2014 M 18,720 ( 5 ) 01/26/2020 Common Stock 18,720 $ 0 ( 3 ) 0 ( 4 ) D
Employee Stock Option (right to buy) $ 10.17 07/10/2014 M 20,720 ( 6 ) 01/20/2022 Common Stock 20,720 $ 0 ( 3 ) 10,360 ( 4 ) D
Employee Stock Option (right to buy) $ 8.88 07/10/2014 M 13,920 ( 7 ) 01/16/2023 Common Stock 13,920 $ 0 ( 3 ) 27,840 ( 4 ) D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Harvey Roy Christopher
390 PARK AVENUE
NEW YORK,, NY10022
Executive Vice President
Signatures
Brenda Hart (Assistant Secretary), by power of attorney 07/11/2014
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $15.52 to $15.55. 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.
( 2 )This option was 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, 2012.
( 3 )Employee stock options are granted without payment of consideration.
( 4 )In the aggregate, a total of 167,000 employee stock options (with various exercise prices and expiration dates) were beneficially owned by the reporting person as of the date of this report.
( 5 )This option was part of an option grant that vested in three equal annual installments beginning January 26, 2011. The installments exercised by the reporting person as reported herein vested in two equal annual instal lments on January 26, 2012 and January 26, 2013.
( 6 )This option is part of an option grant that vests in three equal annual installments beginning January 20, 2013. The installments exercised by the reporting person as reported herein vested on January 20, 2013 and January 20, 2014.
( 7 )This option is part of an option grant that vests in three equal annual installments beginning January 16, 2014. The installment exercised by the reporting person as reported herein vested on January 16, 2014.

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