SEC Form 5 · accession 0001628280-18-001705
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
Dec 31, 2017
Accepted (ET)
Feb 14, 2018 · 5:58 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 shareF1 | Jul 27, 2017 | G | 300 | $0.00 | D | 61,613 | I | By Hockema Family Trust |
| Common Stock, par value $0.01 per shareF3 | Dec 18, 2017 | S | 9,000 | $101.4564 | D | 61,613 | 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
- F1Bona fide gift by the reporting person for no consideration.
- F2Sales 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.
- F3Represents the sale of 9,000 shares in multiple transactions, ranging from $98.4700 to $102.6100 per share, resulting in a weighted average sale price of $101.4564 per share. The reporting person undertakes 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.