SEC Form 4 · accession 0001227285-17-000002
KAISER ALUMINUM CORP · KALU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jack A Hockema
Officer — CEO · Director
Period of report
Sep 28, 2017
Accepted (ET)
Sep 29, 2017 · 7:31 pm EDT
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 shareF2 | Sep 28, 2017 | S | 5,982 | $102.6628 | D | 73,931 | I | By Hockema Family Trust |
| Common Stock, par value $0.01 per shareF3 | Sep 29, 2017 | S | 3,018 | $102.6957 | D | 70,913 | I | By Hockema Family Trust |
| Common Stock, par value $0.01 per shareF4 | holding | — | — | — | 32,385 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Sales made pursuant to a 10b5-1 plan adopted by the reporting person on May 10, 2017 as part of the reporting person's financial planning to diversify his stockholdings. The plan contemplates the sale of a pre-determined amount of vested shares of common stock of the Registrant held by the reporting person in specified increments subject to designated floor prices.
- F2Represents the sale of 5,982 shares in multiple transactions, ranging from $101.7200 to $103.2500 per share, resulting in a weighted average sale price of $102.6628 per share. The reporting person undertake to provide upon request by the SEC staff, the Registrant, or a security holder of the Registrant, full information regarding the number of shares sold at each separate price within the range.
- F3Represents the sale of 3,018 shares in multiple transactions, ranging from $102.0700 to $103.7700 per share, resulting in a weighted average sale price of $102.6957 per share. The reporting person undertake to provide upon request by the SEC staff, the Registrant, or a security holder of the Registrant, full information regarding the number of shares sold at each separate price within the range.
- F4Includes 21,339 shares acquired pursuant to grants of restricted stock units.