SEC Form 4 · accession 0001422105-15-000064
Noranda Aluminum Holding CORP · NORN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carl J Rickertsen
Director
Period of report
Mar 31, 2015
Accepted (ET)
Apr 2, 2015 · 6:53 pm 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 stockF1 | Mar 31, 2015 | M | 2,799 | $0.00 | A | 60,152 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| restricted stock unitsF2,F3,F4,F5 | — | Mar 31, 2015 | M | 2,799 | D | — | — | Common stock | 2,799 | 8,400 | D |
Explanation of responses
- F1In addition to reflecting the effect of the reported transactions, the number of shares set forth in this column have been adjusted to correct previous computation errors.
- F2Each restricted stock unit is the economic equivalent of one share of Issuer common stock.
- F3On December 2, 2014, the reporting person was granted 9,741 restricted stock units ("RSUs"). On March 25, 2015, the reporting person was granted 32 additional RSUs in the form of dividend equivalents that vest at the same time, and in the same proportion as the previously granted RSUs. Twenty-five percent of outstanding RSUs vested on March 31, 2015. The remaining RSUs will vest in equal increments on each of June 30, September 30 and December 31, 2015.
- F4On January 1, 2015, the reporting person was granted 1,421 restricted stock units ("RSUs"). On March 25, 2015, the reporting person was granted 5 additional RSUs in the form of dividend equivalents that vest at the same time, and in the same proportion as the previously granted RSUs. Twenty-five percent of outstanding RSUs vested on March 31, 2015. The remaining RSUs will vest in equal increments on each of June 30, September 30 and December 31, 2015.
- F512/31/2020