UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 8-K

 

 

CURRENT REPORT

PURSUANT TO SECTION 13 OR 15(d)

OF THE SECURITIES EXCHANGE ACT OF 1934

Date of Report (Date of earliest event reported): October 15, 2013 (October 9, 2013)

 

 

ALCOA INC.

(Exact name of Registrant as specified in its charter)

 

 

 

Pennsylvania		1-3610		25-0317820
(State or Other Jurisdiction of Incorporation)		(Commission File Number)		(I.R.S. Employer Identification Number)

 

390 Park Avenue, New York, New York		10022-4608
(Address of Principal Executive Offices)		(Zip Code)

Office of Investor Relations 212-836-2674

Office of the Secretary 212-836-2732

(Registrant’s telephone number, including area code)

 

(Former Name or Former Address, if Changed Since Last Report)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the Registrant under any of the following provisions:

 

¨	Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

¨	Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

¨	Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

¨	Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 

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Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

 

(b)	Departure of Principal Accounting Officer

On October 9, 2013, Graeme W. Bottger, Vice President and Controller of Alcoa Inc. (the “Company”), was elected Executive Vice President and President of the Company’s Global Business Services, effective October 21, 2013. As a result of this appointment, Mr. Bottger will no longer serve as the Company’s principal accounting officer on and after the effective date.

 

(c)	Appointment of New Principal Accounting Officer

On October 9, 2013, Robert S. Collins was elected Vice President and Controller of the Company, succeeding Mr. Bottger, effective October 21, 2013.

Mr. Collins, 47, is currently the Company’s Assistant Controller, a position he has held since May 2009. As Assistant Controller, Mr. Collins has been responsible for the Company’s global financial accounting policies, including serving as a primary liaison with the Company’s external auditors and overseeing financial functions. Prior to his role as Assistant Controller, he was Director of Financial Transactions and Policy, providing financial accounting support of the Company’s transactions in global mergers, acquisitions and divestitures. Before joining the Company in 2005, Mr. Collins worked in the audit and mergers and acquisitions practices at PricewaterhouseCoopers LLP for 14 years.

The Company will enter into an indemnity agreement with Mr. Collins in the form entered into with directors and officers of the Company (filed as Exhibit 10(j) to the Company’s Annual Report on Form 10-K for the year ended December 31, 1987).

A copy of the Company’s press release announcing Mr. Bottger’s new role and Mr. Collins’s appointment is attached hereto as Exhibit 99 and is incorporated herein by reference.

 

Item 9.01.

Financial Statements and Exhibits.

 

(d)

Exhibits.

The following is filed as an exhibit to this report:

 

99

Alcoa Inc. press release dated October 10, 2013.

 

2

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SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

Date: October 15, 2013

 

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EXHIBIT INDEX

 

Exhibit No.		Description
99		Alcoa Inc. press release dated October 10, 2013.

 

4

Exhibit 99

October 10, 2013

Graeme Bottger Named President, Alcoa Global Business Services; Robert Collins Succeeds Bottger as Company Controller

NEW YORK–(BUSINESS WIRE)–Alcoa (NYSE:AA) today announced that Graeme Bottger has been named Executive Vice President and President of Global Business Services (GBS). Assistant Controller Robert Collins will succeed Bottger in the role of Vice President and Controller. These changes take effect on October 21st. Mark Davies, who has been President of GBS since 2012, will be taking a role outside of the Company.

As GBS President, Bottger will oversee Alcoa’s procurement, shared services and information technology organizations. He has held a wide variety of corporate and business unit operational and financial roles since joining Alcoa in 1980.

Collins has been Assistant Controller since 2009 with responsibility for the Company’s global financial accounting policies. He joined Alcoa in 2005.

“Graeme and Bob have successful track records in increasingly challenging roles and are ideally qualified to lead functions critical to Alcoa,” said Klaus Kleinfeld, Alcoa Chairman and Chief Executive Officer. “Both have been instrumental to the success of our cash sustainability program, which has strengthened Alcoa’s cost structure and balance sheet. These appointments demonstrate Alcoa’s strong talent pipeline.”

Bottger was named Controller in July 2010 and has had oversight of the Accounting and Financial Planning and Analysis departments that play a key role in enabling Alcoa to be the first major company to report its earnings each quarter. A former Chief Financial Officer of Engineered Products and Solutions, he has also worked in Alcoa’s GBS, procurement, IT and sales organizations in Australia and the United States. He earned a Bachelor’s Degree in Commerce and Computer Science at Australia’s Deakin University.

Prior to his role as Assistant Controller, Collins was involved in M&A deals as Alcoa’s Director of Financial Transactions and Policy. Before Alcoa, Collins worked in the audit and M&A practices at PricewaterhouseCoopers for 14 years. He is a Certified Public Accountant and earned a Master of Science in Accounting at the University of Virginia.

Bottger will report to Klaus Kleinfeld. Collins will report to Alcoa Executive Vice President and Chief Financial Officer, William Oplinger.

About Alcoa

Alcoa is the world’s leading producer of primary and fabricated aluminum, as well as the world’s largest miner of bauxite and refiner of alumina. In addition to inventing the modern-day aluminum industry, Alcoa innovation has been behind major milestones in the aerospace, automotive, packaging, building and construction, commercial transportation, consumer electronics, and industrial markets over the past 125 years. Among the solutions Alcoa markets are flat-rolled products, hard alloy extrusions, and forgings, as well as Alcoa® wheels, fastening systems, precision and investment castings, and building systems in addition to its expertise in other light metals such as titanium and nickel-based super alloys. Sustainability is an integral part of Alcoa’s operating practices and the product design and engineering it provides to customers. Alcoa has been a member of the Dow Jones Sustainability Index for 12 consecutive years and approximately 75 percent of all of the aluminum ever produced since 1888 is still in active use today. Alcoa employs approximately 61,000 people in 30 countries across the world. For more information, visit www.alcoa.com, follow @Alcoa on Twitter at www.twitter.com/Alcoa and follow Alcoa on Facebook at www.facebook.com/Alcoa.