Statement of Changes in Beneficial Ownership (4)
January 05 2016 - 3:07PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
RICKERTSEN CARL J
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2. Issuer Name
and
Ticker or Trading Symbol
Noranda Aluminum Holding CORP
[
NOR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
801 CRESCENT CENTRE DRIVE, SUITE 600
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3. Date of Earliest Transaction
(MM/DD/YYYY)
12/31/2015
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(Street)
FRANKLIN, TN 37067
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common stock
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12/31/2015
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M
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351
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A
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$0
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26043
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D
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Common stock
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12/31/2015
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M
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50
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A
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$0
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26093
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Restricted Stock Units
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(1)
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12/31/2015
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M
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351
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12/31/2015
(2)
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12/31/2015
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Common stock
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351.0
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$0
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0
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D
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Restricted Stock Units
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(1)
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12/31/2015
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M
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50
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12/31/2015
(3)
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12/31/2015
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Common stock
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50.0
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$0
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0
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D
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Explanation of Responses:
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(
1)
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Each restricted stock unit is the economic equivalent of one share of the Issuer's common stock.
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(
2)
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The Restricted Stock Units (RSUs) initially were granted to the reporting person on December 2, 2014 and vested in four substantially equal tranches on the last day of each calendar quarter in 2015 (subject to slight variations due to dividend equivalents granted to the reporting person on March 25, 2015 and June 10, 2015). The number of shares underlying the RSUs reflect the one-for-seven reverse stock split of the Issuer's common stock that occurred on August 25, 2015, as well as the previously-reported cancellation of a fractional RSU in exchange for a cash payment.
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(
3)
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The Restricted Stock Units (RSUs) initially were granted to the reporting person on January 1, 2015 and vested in four substantially equal tranches on the last day of each calendar quarter in 2015 (subject to slight variations due to dividend equivalents granted to the reporting person on March 25, 2015 and June 10, 2015). The number of shares underlying the RSUs reflect the one-for-seven reverse stock split of the Issuer's common stock that occurred on August 25, 2015, as well as the previously-reported cancellation of a fractional RSU in exchange for a cash payment.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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RICKERTSEN CARL J
801 CRESCENT CENTRE DRIVE
SUITE 600
FRANKLIN, TN 37067
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X
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Signatures
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Gail E. Lehman, Attorney-in-Fact for Carl J. Rickertsen
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1/5/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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