Alcoa 2009 Annual Report Download - page 153

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PART III
Item 10. Directors, Executive Officers and Corporate Governance.
The information required by Item 401 of Regulation S-K regarding directors is contained under the captions “Item 1 –
Election of Directors” of the Proxy Statement and is incorporated by reference. The information required by Item 401
of Regulation S-K regarding executive officers is set forth in Part I, Item 4A of this report under “Executive Officers of
the Registrant”.
The information required by Item 405 of Regulation S-K is contained under the caption “Alcoa Stock Ownership –
Section 16(a) Beneficial Ownership Reporting Compliance” of the Proxy Statement and is incorporated by reference.
The company’s Code of Ethics for the CEO, CFO and Other Financial Professionals is publicly available on the
company’s Internet website at http://www.alcoa.com under the section “About Alcoa – Corporate Governance.” The
remaining information required by Item 406 of Regulation S-K is contained under the captions “Corporate
Governance” and “Corporate Governance – Business Conduct Policies and Code of Ethics” of the Proxy Statement and
is incorporated by reference.
The information required by Items 407(c)(3), (d)(4) and (d)(5) of Regulation S-K is included under “Nominating
Candidates for Election to the Board” and “Corporate Governance – Committees of the Board – Audit Committee” of
the Proxy Statement and is incorporated by reference.
Item 11. Executive Compensation.
The information required by Item 402 of Regulation S-K is contained under the captions “Executive Compensation”
(excluding the information under the caption “– Compensation Committee Report”), “Director Compensation for
2009”, and “Corporate Governance – Recovery of Incentive Compensation” of the Proxy Statement. Such information
is incorporated by reference.
The information required by Items 407(e)(4) and (e)(5) of Regulation S-K is contained under the captions “Corporate
Governance – Compensation Committee Interlocks and Insider Participation” and “Executive Compensation –
Compensation Committee Report” of the Proxy Statement. Such information (other than the Compensation Committee
Report, which shall not be deemed to be “filed”) is incorporated by reference.
Item 12. Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters.
The following table gives information about Alcoa’s common stock that could be issued under the company’s equity
compensation plans as of December 31, 2009.
Plan Category
Number of securities to
be issued upon exercise of
outstanding options,
warrants and rights
Weighted-
average
exercise
price of
outstanding
options,
warrants
and rights
Number of securities
remaining available for
future issuance under
equity compensation
plans (excluding
securities
reflected in
column (a))
(a) (b) (c)
Equity compensation plans approved by
security holders172,696,2961$24.44 35,836,0252
Equity compensation plans not approved by
security holders3,4 00 0
Total 72,696,2961$24.44 35,836,0252
1Includes the 2009 Alcoa Stock Incentive Plan (approved by shareholders in May 2009) (2009 ASIP), 2004 Alcoa
Stock Incentive Plan (approved by shareholders in April 2004) (2004 ASIP), Alcoa Stock Incentive Plan
145