AA » Topics » Item 9.01. Financial Statements and Exhibits.

This excerpt taken from the AA 8-K filed Oct 10, 2008.

Item 9.01. Financial Statements and Exhibits.

 

(d) Exhibits.

The following are furnished as exhibits to this report:

 

99.1    Transcript of Alcoa Inc. third quarter 2008 earnings call.
99.2    Slides presented during Alcoa Inc. third quarter 2008 earnings call.

 

3


SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

ALCOA INC.
By:   /s/ J. Michael Schell
  J. Michael Schell
  Executive Vice President —
  Business Development and Law

Dated: October 10, 2008

 

4


EXHIBIT INDEX

 

Exhibit No.

  

Description

99.1    Transcript of Alcoa Inc. third quarter 2008 earnings call.
99.2    Slides presented during Alcoa Inc. third quarter 2008 earnings call.

 

5

This excerpt taken from the AA 8-K filed Jan 14, 2008.

Item 9.01. Financial Statements and Exhibits.

 

(d) Exhibits.

The following are furnished as exhibits to this report:

 

99.1    Transcript of Alcoa Inc. fourth quarter 2007 earnings call.
99.2    Slides presented during Alcoa Inc. fourth quarter 2007 earnings call.

 

2


SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

ALCOA INC.

By:

 

/s/ Lawrence R. Purtell

  Lawrence R. Purtell
  Executive Vice President and
  General Counsel

Dated: January 14, 2008

 

3


EXHIBIT INDEX

 

Exhibit No.  

Description

99.1   Transcript of Alcoa Inc. fourth quarter 2007 earnings call.
99.2   Slides presented during Alcoa Inc. fourth quarter 2007 earnings call.

 

4

This excerpt taken from the AA 8-K filed Sep 12, 2007.

Item 9.01. Financial Statements and Exhibits.

 

(d) Exhibits.

The following is filed as an exhibit to this report:

 

99

   Alcoa Inc. press release dated September 12, 2007.

 

2


SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

ALCOA INC.

By:

 

/s/ Lawrence R. Purtell

  Name:   Lawrence R. Purtell
 

Title:

  Executive Vice President and General Counsel

Date: September 12, 2007

 

3


EXHIBIT INDEX

 

 

Exhibit No.   

Description

99    Alcoa Inc. press release dated September 12, 2007.

 

4

This excerpt taken from the AA 8-K filed Jul 12, 2007.

Item 9.01. Financial Statements and Exhibits.

 

(d) Exhibits.

The following are furnished as exhibits to this report:

 

  99.1 Transcript of Alcoa Inc. second quarter 2007 earnings call.

 

  99.2 Slides relating to Alcoa Inc. second quarter 2007 earnings call.

 

2


SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

ALCOA INC.
By:  

/s/ Lawrence R. Purtell

  Lawrence R. Purtell
  Executive Vice President and
  General Counsel

Dated: July 12, 2007

 

3


EXHIBIT INDEX

 

Exhibit No.  

Description

99.1   Transcript of Alcoa Inc. second quarter 2007 earnings call.
99.2   Slides relating to Alcoa Inc. second quarter 2007 earnings call.

 

4

This excerpt taken from the AA 8-K filed Jul 6, 2007.

Item 9.01. Financial Statements and Exhibits.

 

(d) Exhibits.

The following is filed as an exhibit to this report:

 

  99 Alcoa Inc. press release dated July 6, 2007.

 

2


SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

  ALCOA INC.
Date: July 6, 2007   By:  

/s/ Lawrence R. Purtell

  Name:   Lawrence R. Purtell
  Title:   Executive Vice President and General Counsel

 

3


EXHIBIT INDEX

 

Exhibit No.  

Description

99   Alcoa Inc. press release dated July 6, 2007.

 

4

This excerpt taken from the AA 8-K filed Feb 1, 2007.

Item 9.01. Financial Statements and Exhibits.

 

(d) Exhibits.

The following are filed as exhibits to this report:

 

  99.1 Alcoa Inc. press release dated January 26, 2007.

99.2 Alcoa Inc. press release dated January 31, 2007.

 

2


SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

ALCOA INC.
By:  

/s/ Lawrence R. Purtell

Name:   Lawrence R. Purtell
Title:   Executive Vice President and General Counsel

Date: February 1, 2007

 

3


EXHIBIT INDEX

 

Exhibit No.   

Description

99.1    Alcoa Inc. press release dated January 26, 2007.
99.2    Alcoa Inc. press release dated January 31, 2007.

 

4

This excerpt taken from the AA 8-K filed Jan 25, 2007.

Item 9.01. Financial Statements and Exhibits.

(d) Exhibits.

The following are filed as exhibits to this report:

 

5   Opinion of Thomas F. Seligson, Esq., Counsel of Alcoa Inc.
23   Consent of Thomas F. Seligson, Esq., Counsel of Alcoa Inc. (included in Exhibit 5).
99.1   Alcoa Inc. press release dated January 22, 2007.
99.2   Underwriting Agreement, dated January 22, 2007, between Alcoa Inc. and Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Deutsche Bank Securities Inc. and J.P. Morgan Securities Inc., as representatives of the several underwriters named therein.
99.3   Terms Agreement, dated January 22, 2007, between Alcoa Inc. and Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Deutsche Bank Securities Inc. and J.P. Morgan Securities Inc., as representatives of the several underwriters named therein.

 

2


99.4    First Supplemental Indenture dated January 25, 2007 between Alcoa Inc. and The Bank of New York Trust Company, N.A., as successor to J. P. Morgan Trust Company, National Association (formerly Chase Manhattan Trust Company, National Association), as successor trustee to PNC Bank, National Association, as Trustee.
99.5    Alcoa Inc. press release dated January 23, 2007.

 

3


SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

ALCOA INC.
By:  

/s/ Lawrence R. Purtell

Name:   Lawrence R. Purtell
Title:   Executive Vice President and
  General Counsel

Date: January 25, 2007

 

4


EXHIBIT INDEX

 

Exhibit No.  

Description

5   Opinion of Thomas F. Seligson, Esq., Counsel of Alcoa Inc.
23   Consent of Thomas F. Seligson, Esq., Counsel of Alcoa Inc. (included in Exhibit 5).
99.1   Alcoa Inc. press release dated January 22, 2007.
99.2   Underwriting Agreement, dated January 22, 2007, between Alcoa Inc. and Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Deutsche Bank Securities Inc. and J.P. Morgan Securities Inc., as representatives of the several underwriters named therein.
99.3   Terms Agreement, dated January 22, 2007, between Alcoa Inc. and Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Deutsche Bank Securities Inc. and J.P. Morgan Securities Inc., as representatives of the several underwriters named therein.
99.4   First Supplemental Indenture dated January 25, 2007 between Alcoa Inc. and The Bank of New York Trust Company, N.A., as successor to J. P. Morgan Trust Company, National Association (formerly Chase Manhattan Trust Company, National Association), as successor trustee to PNC Bank, National Association, as Trustee.
99.5   Alcoa Inc. press release dated January 23, 2007.

 

5

This excerpt taken from the AA 8-K filed Jan 19, 2007.

Item 9.01. Financial Statements and Exhibits.

(d) Exhibits.

The following is filed as an exhibit to this report:

99    Alcoa Inc. press release dated January 19, 2007.

 

3


SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

ALCOA INC.
By:  

/s/ Lawrence R. Purtell

Name:   Lawrence R. Purtell
Title:   Executive Vice President and General Counsel

Date: January 19, 2007

 

4


EXHIBIT INDEX

 

Exhibit No.

  

Description

99    Alcoa Inc. press release dated January 19, 2007.

 

5

This excerpt taken from the AA 8-K filed Jan 19, 2007.

Item 9.01. Financial Statements and Exhibits.

 

(d) Exhibits.

The following are filed as exhibits to this report:

 

 

  15 Letter Regarding Unaudited Interim Financial Information.

 

  23 Consent of Independent Registered Public Accounting Firm.

 

  99.1 Updated financial information in the Annual Report on Form 10-K for the year ended December 31, 2005.

 

  99.2 Updated financial information in Schedule II of Form 10-K for the year ended December 31, 2005.

 

  99.3 Updated financial information in Exhibit 12 of Form 10-K for the year ended December 31, 2005.

 

  99.4 Updated financial information in the Quarterly Report on Form 10-Q for the quarter ended March 31, 2006.

 

  99.5 Updated financial information in the Quarterly Report on Form 10-Q for the quarter ended June 30, 2006.

 

  99.6 Report of Independent Registered Public Accounting Firm on Financial Statement Schedule.

 

4


SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

ALCOA INC.

 

 

By:   /s/ Charles D. McLane, Jr.
 

Charles D. McLane, Jr.

Vice President and Chief Financial Officer

Dated: January 19, 2007

 

5


EXHIBIT INDEX

 

Exhibit No.   

Description

15    Letter Regarding Unaudited Interim Financial Information.
23    Consent of Independent Registered Public Accounting Firm.
99.1    Updated financial information in the Annual Report on Form 10-K for the year ended December 31, 2005.
99.2    Updated financial information in Schedule II of Form 10-K for the year ended December 31, 2005.
99.3    Updated financial information in Exhibit 12 of Form 10-K for the year ended December 31, 2005.
99.4    Updated financial information in the Quarterly Report on Form 10-Q for the quarter ended March 31, 2006.
99.5    Updated financial information in the Quarterly Report on Form 10-Q for the quarter ended June 30, 2006.
99.6    Report of Independent Registered Public Accounting Firm on Financial Statement Schedule.

 

6

This excerpt taken from the AA 8-K filed Jan 12, 2007.

Item 9.01. Financial Statements and Exhibits.

 

(d) Exhibits.

The following are furnished as exhibits to this report:

 

99.1    Transcript of Alcoa Inc. fourth quarter 2006 earnings call.
99.2    Slides presented during Alcoa Inc. fourth quarter 2006 earnings call.

 

2


SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

ALCOA INC.
By:   /s/ Lawrence R. Purtell
 

Lawrence R. Purtell

Executive Vice President and

General Counsel

Dated: January 12, 2007

 

3


EXHIBIT INDEX

 

Exhibit No.   

Description

99.1    Transcript of Alcoa Inc. fourth quarter 2006 earnings call.
99.2    Slides presented during Alcoa Inc. fourth quarter 2006 earnings call.

 

4

This excerpt taken from the AA 8-K filed Jan 10, 2007.

Item 9.01. Financial Statements and Exhibits.

 

(d) Exhibits.

The following is furnished as an exhibit to this report:

 

99    Alcoa Inc. press release dated January 9, 2007.

 

2


SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

ALCOA INC.
By:  

/s/ Lawrence R. Purtell

Name:   Lawrence R. Purtell
Title:  

Executive Vice President and

General Counsel

 

Date: January 10, 2007

 

3


EXHIBIT INDEX

 

Exhibit No.   

Description

99    Alcoa Inc. press release dated January 9, 2007.

 

4

This excerpt taken from the AA 8-K filed Nov 30, 2006.

Item 9.01. Financial Statements and Exhibits.

 

(d) Exhibits.

The following is furnished as an exhibit to this report:

 

99   Transcript of Alain J. P. Belda’s presentation at the Bear Stearns Commodities and Capital Goods Conference on November 29, 2006.

 

2


SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

ALCOA INC.
By:  

/s/ Charles D. McLane, Jr.

  Charles D. McLane, Jr.
  Vice President – Corporate Controller

Dated: November 30, 2006

 

3


EXHIBIT INDEX

 

Exhibit No.  

Description

99   Transcript of Alain J. P. Belda’s presentation at the Bear Stearns Commodities and Capital Goods Conference on November 29, 2006.

 

4

This excerpt taken from the AA 8-K filed Nov 22, 2006.

Item 9.01. Financial Statements and Exhibits.

 

(d) Exhibits.

The following is filed as an exhibit to this report:

 

  99 Alcoa Inc. press release dated November 21, 2006.

 

4


SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

ALCOA INC.
By:  

/s/ Lawrence R. Purtell

  Lawrence R. Purtell
  Executive Vice President and
  General Counsel

Dated: November 22, 2006

 

5


EXHIBIT INDEX

 

Exhibit No.  

Description

99   Alcoa Inc. press release dated November 21, 2006.

 

6

This excerpt taken from the AA 8-K filed Nov 16, 2006.

Item 9.01. Financial Statements and Exhibits.

 

(d) Exhibits.

The following is filed as an exhibit to this report:

 

99   Alcoa Inc. press release dated November 15, 2006.

 

2


SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

ALCOA INC.
By:  

/s/ Lawrence R. Purtell

  Lawrence R. Purtell
  Executive Vice President and
  General Counsel

Dated: November 16, 2006

 

3


EXHIBIT INDEX

 

Exhibit No.  

Description

99   Alcoa Inc. press release dated November 15, 2006.

 

4

This excerpt taken from the AA 8-K filed Nov 15, 2006.

Item 9.01. Financial Statements and Exhibits.

 

(d) Exhibits.

The following is filed as an exhibit to this report:

 

99    Alcoa Inc. press release dated November 14, 2006.

 

2


SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

ALCOA INC.
By:  

/s/ Lawrence R. Purtell

  Lawrence R. Purtell
  Executive Vice President and
  General Counsel

Dated: November 15, 2006

 

3


EXHIBIT INDEX

 

Exhibit No.

  

Description

99

   Alcoa Inc. press release dated November 14, 2006.

 

4

This excerpt taken from the AA 8-K filed Oct 13, 2006.

Item 9.01. Financial Statements and Exhibits.

 

(d) Exhibits.

The following are furnished as exhibits to this report:

 

99.1    Transcript of Alcoa Inc. third quarter 2006 earnings call.
99.2    Slides presented during Alcoa Inc. third quarter 2006 earnings call.

 

2


SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

ALCOA INC.
By:  

/s/ Lawrence R. Purtell

  Lawrence R. Purtell
  Executive Vice President and
  General Counsel

Dated: October 13, 2006

 

3


EXHIBIT INDEX

 

Exhibit No.

  

Description

99.1    Transcript of Alcoa Inc. third quarter 2006 earnings call.
99.2    Slides presented during Alcoa Inc. third quarter 2006 earnings call.

 

4

This excerpt taken from the AA 8-K filed Oct 11, 2006.

Item 9.01. Financial Statements and Exhibits.

 

(d) Exhibits.

The following is furnished as an exhibit to this report:

99    Alcoa Inc. press release dated October 10, 2006.

 

2


SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

ALCOA INC.
By:  

/s/ Lawrence R. Purtell

Name:   Lawrence R. Purtell
Title:   Executive Vice President and
  General Counsel

Date: October 11, 2006

 

3


EXHIBIT INDEX

 

Exhibit No.  

Description

99   Alcoa Inc. press release dated October 10, 2006.

 

4

This excerpt taken from the AA 8-K filed Sep 20, 2006.

Item 9.01. Financial Statements and Exhibits.

 

(d) Exhibits.

The following are filed as exhibits to this report:

 

10.1   Incentive Compensation Plan of Alcoa Inc., as revised September 15, 2006.
10.2   Second Amendment to the Fee Continuation Plan for Non-Employee Directors, effective September 15, 2006.
10.3   Form of Special Retention Stock Award Agreement, effective July 14, 2006.
99   Corporate Governance Guidelines, as amended September 15, 2006.

 

4


SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

ALCOA INC.
By:  

/s/ Lawrence R. Purtell

  Lawrence R. Purtell
  Executive Vice President and
  General Counsel

Dated: September 20, 2006

 

5


EXHIBIT INDEX

 

Exhibit No.  

Description

10.1   Incentive Compensation Plan of Alcoa Inc., as revised September 15, 2006.
10.2   Second Amendment to the Fee Continuation Plan for Non-Employee Directors, effective September 15, 2006.
10.3   Form of Special Retention Stock Award Agreement, effective July 14, 2006.
99   Corporate Governance Guidelines, as amended September 15, 2006.

 

6

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