SEC Form 4 · accession 0001628280-18-013209
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
Oct 30, 2018
Accepted (ET)
Oct 31, 2018 · 5:44 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 | Oct 30, 2018 | S | 4,500 | $93.3534 | D | 69,241 | I | By Hockema Family Trust |
| Common Stock, par value $0.01 per shareF3 | holding | — | — | — | 29,624 | 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 2, 2018 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 4,500 shares in multiple transactions, ranging from $92.5000 to $94.1600 per share, resulting in a weighted average sale price of $93.3534 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.
- F3Shares acquired pursuant to grants of restricted stock units.