View:
Download DOC
Download PDF
SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940 		 
OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response: 0.5
1. Name and Address of Reporting Person*
Collins Robert Sean
(Last) (First) (Middle)
390 PARK AVENUE
(Street)
NEW YORK NY 10022
(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
10/21/2013 		3. Issuer Name and Ticker or Trading Symbol
ALCOA INC [ AA ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Vice President and Controller
 5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 26,537.84 D
Common Stock 1,133 I By Wife in Company 401(k) Plan
Common Stock 3,596 I By Company 401(k) Plan
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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: 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) (1) 01/17/2014 Common Stock 3,356 28.79 D
Employee Stock Option (right to buy) (2) 01/23/2015 Common Stock 29,333 8.33 D
Employee Stock Option (right to buy) (3) 01/26/2020 Common Stock 19,260 13.54 D
Employee Stock Option (right to buy) (4) 01/25/2021 Common Stock 12,720 16.24 D
Employee Stock Option (right to buy) (5) 01/20/2022 Common Stock 40,680 10.17 D
Employee Stock Option (right to buy) (6) 01/16/2023 Common Stock 40,920 8.88 D
Explanation of Responses:
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 shares remaining subject to the option (reported 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.
Remarks:
Brenda Hart (Assistant Secretary), by power of attorney 10/28/2013
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
POWER OF ATTORNEY



 KNOW ALL PERSONS BY THESE PRESENTS that the undersigned hereby names,

constitutes and appoints the Secretary and each Assistant Secretary of ALCOA INC., a

Pennsylvania corporation (the "Company"), or any of them, the undersigned's true and lawful

attorney-in-fact and agent to:



       (1)  prepare, sign for and on behalf of the undersigned, and submit to the U.S.

Securities and Exchange Commission (the "SEC"), a Form ID, including amendments thereto,

and any other documents necessary or appropriate to obtain codes and passwords enabling the

undersigned to make electronic filings with the SEC of reports required by Section 16(a) of the

Securities Exchange Act of 1934 or any rule or regulation of the SEC;



       (2) prepare, and sign for and on behalf of the undersigned, as to any equity securities

of the Company, Forms 3, 4 and/or 5, including amendments thereto, in accordance with

Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder;



       (3) timely file any such Forms 3, 4 and/or 5, including amendments thereto, with the

SEC and any stock exchange or similar authority and deliver a copy thereof to the Company in

care of the Secretary; and



       (4) take any other action in connection with the foregoing which, in the opinion of such

attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the

undersigned.



        The undersigned hereby grants to each of such attorneys-in-fact full power and authority

to do and perform any and every act and thing whatsoever requisite, necessary or proper to be

done in the exercise of any of the rights and powers herein granted, as fully to all intents and

purposes as the undersigned might or could do if personally present, hereby ratifying and

confirming all that such attorneys-in-fact shall lawfully do or cause to be done by virtue of this

Power of Attorney and the rights and powers herein granted.  The undersigned acknowledges that

the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are

not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply

with Section 16 of the Securities Exchange Act of 1934.



       This Power of Attorney shall remain in full force and effect until the undersigned is no

longer required to file Forms 3, 4 and 5 with respect to the undersigned's holdings of and

transactions in equity securities of the Company, unless earlier revoked by the undersigned in a

signed writing delivered to the foregoing attorneys-in-fact.  This Power of Attorney shall be

governed by and construed in accordance with the laws of the Commonwealth of Pennsylvania.

The execution of this Power of Attorney is not intended to, and does not, revoke any prior

powers of attorney.



 IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be

executed on the date set opposite the signature below.





 /s/ Robert S. Collins      10/23/13

  Signature          Date



          ROBERT S. COLLINS

  Print Name