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

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1. Name and Address of Reporting Person^*

Collins Robert Sean

(Last)

(First)

(Middle)

390 PARK AVENUE

(Street)

NEW YORK

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)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	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)
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.