SEC Form 4/A · accession 0001209191-16-098836

KAISER ALUMINUM CORP · KALU

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

This is an amendment (Form 4/A). It replaces an earlier filing for the same period.

Reporting owner

Jack A Hockema

Officer — CEO · Director

Period of report

Mar 5, 2015

Accepted (ET)

Feb 16, 2016 · 5:09 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000811596

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock, par value $0.01 per share^F1	Mar 5, 2015	A	11,046	$0.00	A	40,231	D
Common Stock, par value $0.01 per share^F2	Mar 5, 2015	A	17,174	$0.00	A	57,405	D
Common Stock, par value $0.01 per share	Mar 5, 2015	F	7,023	$75.41	D	50,382	D
Common Stock, par value $0.01 per share	holding	—	—		—	83,987	I	By Hockema Family Trust

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Options (right to Buy)^F4	$80.01	holding	—	—	—	—	Apr 3, 2017	Common Stock, par value $0.01 per share	8,037	8,037	D

Explanation of responses

F1Grant to the reporting person effective as of March 5, 2015, of restricted stock under the Kaiser Aluminum Corporation Amended and Restated 2006 Equity and Performance Incentive Plan. All restrictions will lapse on March 5, 2018 or earlier upon the occurrence of certain specified circumstances.
F2Shares earned upon the vesting on March 5, 2015 of certain performance shares granted to the reporting person in 2012 under the Kaiser Aluminum Corporation 2006 Equity and Performance Incentive Plan, as amended. On March 5, 2015, the Registrant's compensation committee certified the performance shares payout multiplier based on the level of achievement by the Registrant of a certain pre-established performance goals for 2012 through 2014.
F3Shares withheld to satisfy the withholding tax obligations resulting from the vesting on March 5, 2015 of the above-referenced performance shares.
F4Stock option award granted on April 3, 2007 for 8,037 shares of common stock, with one-third of such options vested on each of the first, second and third anniversaries of the grant date.

Remarks

5,000 shares reported on the Form 4, which this filing amends, and on subsequent Form 4s filed on April 2, 2015, May 1, 2015, June 3, 2015, July 2, 2015, and August 5, 2015, as indirectly held by the Hockema Family Trust were gifted by the Hockema Family Trust on March 3, 2015 for no consideration.