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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lehman Gail E 801 CRESCENT CENTRE DRIVE SUITE 600 FRANKLIN, TN 37067 |
General Counsel/Sec/CAO |
/s/ Gail E. Lehman | 03/07/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Refelcts the final vesting on 3/4/14 of the TB Restricted Stock Units awarded on 3/4/11 and any DEUs awarded thereon. Disposing of the vested RSUs in this line item and will acquire the same as Common Stock in the line below. |
(2) | Reflects the Common Stock owned after the final vesting of TB Restricted Stock Units awarded on 3/4/11 including any dividends awarded thereon. Initial filing made on 3/7/11 reported the RSUs on Table 1 as Restricted Stock Units. This filing is to accurately reflect the vested shares as Common Stock instead of RSUs. The fractional of .4437 reflected in the line above vested on 3/4/14 and was paid in cash directly to Ms. Lehman's brokerage account. |
(3) | This amount has been corrected to accurately reflect the total of Noranda common stock owned by Ms. Lehman. |
(4) | Reflects the number of shares withheld to pay for taxes on the final vesting of the 3/4/11 TB RSU grant and all subsequent DEUs awarded thereon. |