SEC Form 4/A · accession 0001628280-19-000567
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
May 25, 2018
Accepted (ET)
Jan 25, 2019 · 6:35 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 shareF2 | May 25, 2018 | S | 9,000 | $108.6431 | D | 70,741 | 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 9,000 shares in multiple transactions, ranging from $108.0000 to $109.1300 per share, resulting in a weighted average sale price of $108.6431 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.
Remarks
9,000 shares reported on the Form 4, which this filing amends, and on subsequent Form 4's filed on August 3, 2018, October 31, 2018, November 2, 2018, January 11, 2019 and January 18, 2019, as indirectly held by the Hockema Family Trust were sold by the Hockema Family Trust on March 7, 2018, as reported on the form 4 filed with the SEC on March 7, 2018.