UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 10-Q/A
(Amendment No. 1)
(Mark One)
| x | QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the Quarterly Period Ended June 30, 2010
OR
| ¨ | TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
Commission File Number 1-3610
ALCOA INC.
(Exact name of registrant as specified in its charter)
| PENNSYLVANIA | 25-0317820 | |
| (State of incorporation) | (I.R.S. Employer Identification No.) | |
| 390 Park Avenue, New York, New York | 10022-4608 | |
| (Address of principal executive offices) | (Zip code) | |
Investor Relations 212-836-2674
Office of the Secretary 212-836-2732
(Registrant’s telephone number including area code)
(Former name, former address and former fiscal year, if changed since last report)
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months, and (2) has been subject to such filing requirements for the past 90 days. Yes x No ¨
Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files). Yes x No ¨
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act.
| Large accelerated filer | x | Accelerated filer | ¨ | |||
| Non-accelerated filer | ¨ (Do not check if a smaller reporting company) | Smaller reporting company | ¨ | |||
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes ¨ No x
As of July 19, 2010, 1,021,214,309 shares of common stock, par value $1.00 per share, of the registrant were outstanding.
Explanatory Note
The purpose of this Amendment No. 1 to Alcoa Inc.’s Quarterly Report on Form 10-Q for the quarterly period ended June 30, 2010, filed with the Securities and Exchange Commission on July 22, 2010 (the “Form 10-Q”), is solely to furnish Exhibit 101 to the Form 10-Q in accordance with Rule 405 of Regulation S-T. Exhibit 101 to this report provides the consolidated financial statements and related notes from the Form 10-Q formatted in XBRL (eXtensible Business Reporting Language).
No other changes have been made to the Form 10-Q. This Amendment No. 1 to the Form 10-Q speaks as of the original filing date of the Form 10-Q, does not reflect events that may have occurred subsequent to the original filing date, and does not modify or update in any way disclosures made in the original Form 10-Q.
Pursuant to Rule 406T of Regulation S-T, the interactive data files on Exhibit 101 hereto are deemed not filed or part of a registration statement or prospectus for purposes of Sections 11 or 12 of the Securities Act of 1933, as amended, are deemed not filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, and otherwise are not subject to liability under those sections.
| Item 6. | Exhibits. |
| 3(a). |
Articles of Incorporation of Alcoa Inc. as amended April 2010, incorporated by reference to Exhibit 3(a) to the company’s Current Report on Form 8-K dated April 27, 2010* | |
| 3(b). |
By-Laws of Alcoa Inc. as amended April 2010, incorporated by reference to Exhibit 3(b) to the company’s Current Report on Form 8-K dated April 27, 2010* | |
| 10. |
Executive Severance Agreement, dated February 19, 2010, between Alcoa Inc. and John Thuestad* | |
| 12. |
Computation of Ratio of Earnings to Fixed Charges* | |
| 15. |
Letter regarding unaudited interim financial information* | |
| 31. |
Certifications pursuant to Section 302 of the Sarbanes-Oxley Act of 2002* | |
| 32. |
Certification pursuant to Section 906 of the Sarbanes-Oxley Act of 2002* | |
| 101.INS |
XBRL Instance Document | |
| 101.SCH |
XBRL Taxonomy Extension Schema Document | |
| 101.CAL |
XBRL Taxonomy Extension Calculation Linkbase Document | |
| 101.DEF |
XBRL Taxonomy Extension Definition Linkbase Document | |
| 101.LAB |
XBRL Taxonomy Extension Label Linkbase Document | |
| 101.PRE |
XBRL Taxonomy Extension Presentation Linkbase Document | |
| * | These exhibits were previously included or incorporated by reference in Alcoa’s Quarterly Report on Form 10-Q for the quarterly period ended June 30, 2010, filed with the Securities and Exchange Commission on July 22, 2010. |
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 thereunto duly authorized.
| Alcoa Inc. | ||||||
| August 23, 2010 |
By | /S/ CHARLES D. MCLANE, JR. | ||||
| Date | Charles D. McLane, Jr. | |||||
| Executive Vice President and | ||||||
| Chief Financial Officer | ||||||
| (Principal Financial Officer) | ||||||
| August 23, 2010 |
By | /S/ GRAEME BOTTGER | ||||
| Date | Graeme Bottger | |||||
| Vice President and Controller | ||||||
| (Principal Accounting Officer) | ||||||
EXHIBIT INDEX
| 3(a). |
Articles of Incorporation of Alcoa Inc. as amended April 2010, incorporated by reference to Exhibit 3(a) to the company’s Current Report on Form 8-K dated April 27, 2010* | |
| 3(b). |
By-Laws of Alcoa Inc. as amended April 2010, incorporated by reference to Exhibit 3(b) to the company’s Current Report on Form 8-K dated April 27, 2010* | |
| 10. |
Executive Severance Agreement, dated February 19, 2010, between Alcoa Inc. and John Thuestad* | |
| 12. |
Computation of Ratio of Earnings to Fixed Charges* | |
| 15. |
Letter regarding unaudited interim financial information* | |
| 31. |
Certifications pursuant to Section 302 of the Sarbanes-Oxley Act of 2002* | |
| 32. |
Certification pursuant to Section 906 of the Sarbanes-Oxley Act of 2002* | |
| 101.INS |
XBRL Instance Document | |
| 101.SCH |
XBRL Taxonomy Extension Schema Document | |
| 101.CAL |
XBRL Taxonomy Extension Calculation Linkbase Document | |
| 101.DEF |
XBRL Taxonomy Extension Definition Linkbase Document | |
| 101.LAB |
XBRL Taxonomy Extension Label Linkbase Document | |
| 101.PRE |
XBRL Taxonomy Extension Presentation Linkbase Document | |
| * | These exhibits were previously included or incorporated by reference in Alcoa’s Quarterly Report on Form 10-Q for the quarterly period ended June 30, 2010, filed with the Securities and Exchange Commission on July 22, 2010. |