SEC Form 4/A · accession 0001422105-15-000219
Noranda Aluminum Holding CORP · NORN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Layle Kiplind Smith
Officer — President and CEO · Director
Period of report
Jun 10, 2015
Accepted (ET)
Oct 1, 2015 · 9:02 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001422105
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted StockF3,F1,F2 | — | Jun 10, 2015 | A | 246 | A | — | — | Common stock | 246 | 33,216 | D |
| Restricted StockF3,F1,F4 | — | Jun 10, 2015 | A | 924 | A | — | — | Common stock | 924 | 124,777 | D |
Explanation of responses
- F1Each share of restricted stock is the economic equivalent of one share of Issuer common stock.
- F2This report relates to shares of restricted stock awarded in the form of dividend equivalents on unvested underlying shares of restricted stock awarded on April 12, 2013, and on unvested underlying shares of restricted stock previously awarded as dividend equivalents thereon. Subsequent to the grant date, these shares of restricted stock will vest at the same times, and in the same proportions, as the previously awarded shares of restricted stock to which they relate. The outstanding shares of restricted stock will vest on April 12, 2016.
- F3This amendment is being filed solely to correct the number of shares of restricted stock held by the reporting person following the reported transactions. The number of shares shown does not reflect the one-for-seven stock split (the "Reverse Stock Split") of the issuer's common stock that occurred on August 25, 2015. The effect of the Reverse Stock Split will be reflected on the reporting person's Forms 4 that report transactions occurring subsequent to August 25, 2015.
- F4This report relates to shares of restricted stock awarded in the form of dividend equivalents on unvested underlying shares of restricted stock awarded on May 2, 2014, and on unvested underlying shares of restricted stock previously awarded as dividend equivalents thereon. Subsequent to the grant date, these shares of restricted stock will vest at the same times, and in the same proportions, as the previously awarded shares of restricted stock to which they relate. One-third of the outstanding shares of restricted stock will vest on May 2, 2015, and the remaining two-thirds will vest on May 2, 2016.