SEC Form 4 · accession 0001422105-15-000047
Noranda Aluminum Holding CORP · NORN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Layle Kiplind Smith
Officer — CEO · Director
Period of report
Mar 25, 2015
Accepted (ET)
Mar 31, 2015 · 11:51 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001422105
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stock | Mar 25, 2015 | A | 238 | $0.00 | A | 449,353 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Dividend Equivalent UnitsF1,F2 | — | Mar 25, 2015 | A | 763 | A | — | Apr 12, 2023 | Common stock | 763 | 235,919 | D |
| Dividend Equivalent UnitsF1,F2 | — | Mar 25, 2015 | A | 414 | A | — | Apr 12, 2023 | Common stock | 414 | 128,116 | D |
| Dividend Equivalent UnitsF3,F4 | — | Mar 25, 2015 | A | 534 | A | — | May 2, 2024 | Common stock | 534 | 165,136 | D |
| Dividend Equivalent UnitsF3,F4 | — | Mar 25, 2015 | A | 160 | A | — | May 2, 2024 | Common stock | 160 | 49,454 | D |
Explanation of responses
- F1The dividend equivalent units ("DEUs") accrued on previously awarded performance shares and vest in the same manner as the performance shares to which they relate. Each DEU is the economic equivalent of one share of NOR common stock.
- F2The dividend equivalent units vest at the same time and in the same proportion as the performance shares they relate to, subject to acceleration upon certain terminations of service.
- F3The dividend equivalent units ("DEUs") accrued on previously awarded restricted stock and vest in the same manner as the restricted stock to which they relate. Each DEU is the economic equivalent of one share of NOR common stock.
- F4The dividend equivalent units vest at the same time and in the same proportion as the restricted stock they relate to, subject to acceleration upon certain terminations of service.