SEC Contract Filing

Filing Date: 2016-05-11

Document Content:
<DOCUMENT>
<TYPE>EX-10.A
<SEQUENCE>2
<FILENAME>d153759dex10a.htm
<DESCRIPTION>EX-10(A)
<TEXT>
<HTML><HEAD>
<TITLE>EX-10(a)</TITLE>
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 <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="right"><FONT STYLE="font-family:ARIAL" SIZE="2"><B>Exhibit 10(a) </B></FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px" ALIGN="center"><FONT
STYLE="font-family:ARIAL" SIZE="3"><B><A NAME="toc129069_64"></A>2013 Alcoa Stock Incentive Plan, as Amended and Restated </B></FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px"><FONT STYLE="font-family:ARIAL" SIZE="2"><B>SECTION 1.
PURPOSE.</B> The purpose of the 2013 Alcoa Stock Incentive Plan is to encourage selected Directors and Employees to acquire a proprietary interest in the long-term growth and financial success of the Company and to further link the interests of such
individuals to the long-term interests of shareholders. </FONT></P> <P STYLE="margin-top:6px;margin-bottom:0px"><FONT STYLE="font-family:ARIAL" SIZE="2"><B>SECTION 2. DEFINITIONS.</B> As used in the Plan, the following terms have the meanings set
forth below: </FONT></P> <P STYLE="margin-top:6px;margin-bottom:0px"><FONT STYLE="font-family:ARIAL" SIZE="2">&#147;<I>Affiliate</I>&#148; shall have the meaning set forth in Rule 12b-2 under Section&nbsp;12 of the Securities Exchange Act of 1934,
as amended. </FONT></P> <P STYLE="margin-top:6px;margin-bottom:0px"><FONT STYLE="font-family:ARIAL" SIZE="2">&#147;<I>Award</I>&#148; means any Option, Stock Appreciation Right, Restricted Share Award, Restricted Share Unit, or any other right,
interest, or option relating to Shares or other property granted pursuant to the provisions of the Plan. </FONT></P> <P STYLE="margin-top:6px;margin-bottom:0px"><FONT STYLE="font-family:ARIAL" SIZE="2">&#147;<I>Award Agreement</I>&#148; means any
written or electronic agreement, contract, or other instrument or document evidencing any Award granted by the Committee hereunder, which may, but need not, be executed or acknowledged by both the Company and the Participant. </FONT></P>
<P STYLE="margin-top:6px;margin-bottom:0px"><FONT STYLE="font-family:ARIAL" SIZE="2">&#147;<I>Board</I>&#148; means the Board of Directors of the Company. </FONT></P>
<P STYLE="margin-top:6px;margin-bottom:0px"><FONT STYLE="font-family:ARIAL" SIZE="2">&#147;<I>Change in Control</I>&#148; shall be deemed to have occurred if the event set forth in any one of the following paragraphs shall have occurred: </FONT></P>
<P STYLE="margin-top:6px;margin-bottom:0px; margin-left:5%; text-indent:5%"><FONT STYLE="font-family:ARIAL" SIZE="2">(a) any one person or more than one person acting as a group (as determined in accordance with
<FONT STYLE="white-space:nowrap">Section&nbsp;1.409A-3(i)(5)(v)(B)</FONT> of the regulations promulgated under the Code) (a &#147;<I>Person</I>&#148;) acquires (or has acquired during the 12-month period ending on the date of the most recent
acquisition by such Person), in either case whether by purchase in the market, tender offer, reorganization, merger, statutory share exchange or consolidation, other similar transaction involving the Company or any of its subsidiaries or otherwise
(a &#147;<I>Transaction</I>&#148;), common stock of the Company possessing 30% or more of the total voting power of the stock of the Company unless (A)&nbsp;all or substantially all of the individuals and entities that were the beneficial owners of
the then-outstanding shares of common stock of the Company (the &#147;<I>Outstanding Company Common Stock</I>&#148;) or the combined voting power of the then outstanding voting securities of the Company (the &#147;<I>Outstanding Company Voting
Securities</I>&#148;) immediately prior to such Transaction own, directly or indirectly, 50% or more of the then outstanding shares of common stock (or, for a non-corporate entity, equivalent securities) and the combined voting power of the
then-outstanding voting securities entitled to vote generally in the election of directors (or, for a non-corporate entity, equivalent governing body), as the case may be, of the entity resulting from such Transaction (including, without limitation,
an entity that, as a result of such transaction, owns the Company or all or substantially all of the Company&#146;s assets either directly or through one or more subsidiaries) in substantially the same proportions as their ownership immediately
prior to such Transaction of the Outstanding Company Common Stock and the Outstanding Company Voting Securities, as the case may be, and (B)&nbsp;at least a majority of the members of the board of directors (or, for a non-corporate entity,
equivalent governing body) of the entity resulting from such Transaction were members of the board of directors of the Company at the time of the Transaction (which in the case of a market purchase shall be the date 30% ownership was first acquired,
in the case of a tender offer, when at least 30% of the Company&#146;s shares were tendered, and in other events upon the execution of the initial agreement or of the action of the Board providing for such Transaction); and provided, further, that,
for purposes of this paragraph, the following acquisitions shall not constitute a Change in Control: (i)&nbsp;any acquisition directly from the Company, (ii)&nbsp;any acquisition by the Company, or (iii)&nbsp;any acquisition by any employee benefit
plan (or related trust) sponsored or maintained by the Company or any Affiliate; </FONT></P> <P STYLE="margin-top:6px;margin-bottom:0px; margin-left:5%; text-indent:5%"><FONT STYLE="font-family:ARIAL" SIZE="2">(b) a majority of the members of the
Board is replaced during any 12-month period by directors whose appointment or election is not endorsed by a majority of the Company&#146;s Board before the date of such appointment or election; or </FONT></P>
<P STYLE="margin-top:6px;margin-bottom:0px; margin-left:5%; text-indent:5%"><FONT STYLE="font-family:ARIAL" SIZE="2">(c) any Person