SEC Form 4 · accession 0001422105-15-000138
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
Jun 1, 2015
Accepted (ET)
Jun 3, 2015 · 5:57 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 stock | Jun 1, 2015 | M | 15,116 | $0.00 | A | 115,268 | 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,F1 | — | Jun 1, 2015 | M | 15,116 | D | Jun 1, 2015 | Jun 1, 2015 | Common stock | 15,116 | 0 | D |
Explanation of responses
- F1Each restricted stock unit is the economic equivalent of one share of Issuer common stock.
- F2On June 1, 2014, the reporting person was granted 15,000 Restricted Stock Units ("RSUs"). On September 17, 2014, December 8, 2014 and March 25, 2015, the reporting person was granted 28, 39 and 49 additional RSUs, respectively, as dividend equivalents that vested at the same time as the RSUs to which they relate.