0001422105-15-000232.txt : 20151002 0001422105-15-000232.hdr.sgml : 20151002 20151002160047 ACCESSION NUMBER: 0001422105-15-000232 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150930 FILED AS OF DATE: 20151002 DATE AS OF CHANGE: 20151002 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Noranda Aluminum Holding CORP CENTRAL INDEX KEY: 0001422105 STANDARD INDUSTRIAL CLASSIFICATION: PRIMARY PRODUCTION OF ALUMINUM [3334] IRS NUMBER: 208908550 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 801 CRESCENT DRIVE STREET 2: SUITE 600 CITY: FRANKLIN STATE: TN ZIP: 37067 BUSINESS PHONE: 615-771-5700 MAIL ADDRESS: STREET 1: 801 CRESCENT DRIVE STREET 2: SUITE 600 CITY: FRANKLIN STATE: TN ZIP: 37067 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RICKERTSEN CARL J CENTRAL INDEX KEY: 0001203479 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34741 FILM NUMBER: 151140224 MAIL ADDRESS: STREET 1: C/O MICROSTRATEGY INC STREET 2: 1850 TOWERS CRESCENT PLAZA CITY: VIENNA STATE: VA ZIP: 22182 4 1 wf-form4_144381603741842.xml FORM 4 X0306 4 2015-09-30 0 0001422105 Noranda Aluminum Holding CORP NOR 0001203479 RICKERTSEN CARL J 801 CRESCENT CENTRE DRIVE SUITE 600 FRANKLIN TN 37067 1 0 0 0 Common stock 2015-09-30 4 M 0 351.71 0 A 25641.71 D Common stock 2015-09-30 4 D 0 0.71 1.64 D 25641 D Common stock 2015-09-30 4 M 0 51.36 0 A 25692.36 D Common stock 2015-09-30 4 D 0 0.36 1.64 D 25692 D Restricted Stock Units 2015-09-30 4 M 0 351.71 0 D 2015-12-31 Common stock 351.71 351.71 D Restricted Stock Units 2015-09-30 4 M 0 51.36 0 D 2016-01-01 Common stock 51.36 51.36 D The number of securities shown in this report reflects the one-for-seven reverse stock split of the Issuer's common stock that occurred on August 25, 2015. Represents cash payment to the reporting person in lieu of fractional share. Each restricted stock unit is the economic equivalent of one share of Issuer common stock. On December 2, 2014, the reporting person was granted 1,391.6 restricted stock units ("RSUs"). On March 25, 2015 and June 10, 2015, the reporting person was granted 4.6 and 7.9 additional RSUs, respectively, in the form of dividend equivalents that vest at the same time and in the same proportions as the previously granted RSUs. Twenty-five percent of outstanding RSUs vested on each of March 31, 2015, June 30, 2015, and September 30, 2015. The remaining RSUs will vest on December 31, 2015. On January 1, 2015, the reporting person was granted 203 restricted stock units ("RSUs"). On March 25, 2015 and June 10, 2015, the reporting person was granted .7 and 1.1 additional RSUs, respectively, in the form of dividend equivalents that vest at the same time and in the same proportions as the previously granted RSUs. Twenty-five percent of outstanding RSUs vested on each of March 31, 2015, June 30, 2015, and September 30, 2015. The remaining RSUs will vest on December 31, 2015. The actual expiration date is 12/31/15. However, due to system limitations, the reporting person had to incorrectly indicate a 1/1/16 expiration date in the table. Gail E. Lehman, Attorney-in-Fact for Carl J. Rickertsen 2015-10-02