SEC Form 4 · accession 0001628280-17-003244
KAISER ALUMINUM CORP · KALU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ray Parkinson
Officer — VP - Advanced Engineering
Period of report
Mar 29, 2017
Accepted (ET)
Mar 31, 2017 · 4:54 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 shareF1 | Mar 29, 2017 | S | 1,200 | $78.1619 | D | 7,882 | I | By Family Trust |
| Common Stock, par value $0.01 per shareF2 | holding | — | — | — | 11,679 | D |
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)F3 | $80.01 | holding | — | — | — | — | Apr 3, 2017 | Common Stock, par value $0.01 per share | 643 | 643 | D |
Explanation of responses
- F1Represents the sale of 1,200 shares in multiple transactions, ranging from $78.0900 to $78.2450 per share, resulting in a weighted average sale price of $78.1619 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.
- F2Includes 3,929 shares acquired pursuant to grants of restricted stock units.
- F3Stock option award granted on April 3, 2007 for 643 shares of common stock, with one-third of such options vested on each of the first, second and third anniversaries of the grant date.