0001104659-13-010980.txt : 20130214 0001104659-13-010980.hdr.sgml : 20130214 20130214185206 ACCESSION NUMBER: 0001104659-13-010980 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130214 DATE AS OF CHANGE: 20130214 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: 615-771-5760 MAIL ADDRESS: STREET 1: 801 CRESCENT DRIVE STREET 2: SUITE 600 CITY: FRANKLIN STATE: TN ZIP: 37067 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Apollo Management, L.P. CENTRAL INDEX KEY: 0001398053 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34741 FILM NUMBER: 13616933 BUSINESS ADDRESS: STREET 1: 2 MANHATTANVILLE ROAD STREET 2: SUITE 203 CITY: PURCHASE STATE: NY ZIP: 10577 BUSINESS PHONE: 914-694-8000 MAIL ADDRESS: STREET 1: 2 MANHATTANVILLE ROAD STREET 2: SUITE 203 CITY: PURCHASE STATE: NY ZIP: 10577 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Apollo Management GP, LLC CENTRAL INDEX KEY: 0001413410 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34741 FILM NUMBER: 13616932 BUSINESS ADDRESS: STREET 1: TWO MANHATTANVILLE ROAD STREET 2: SUITE 203 CITY: PURCHASE STATE: NY ZIP: 10577 BUSINESS PHONE: 914-694-8000 MAIL ADDRESS: STREET 1: TWO MANHATTANVILLE ROAD STREET 2: SUITE 203 CITY: PURCHASE STATE: NY ZIP: 10577 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AIF VI Management, LLC CENTRAL INDEX KEY: 0001435155 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34741 FILM NUMBER: 13616934 BUSINESS ADDRESS: STREET 1: 9 WEST 57TH STREET STREET 2: 43RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-515-3200 MAIL ADDRESS: STREET 1: 9 WEST 57TH STREET STREET 2: 43RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Apollo Management VI, L.P. CENTRAL INDEX KEY: 0001435156 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34741 FILM NUMBER: 13616935 BUSINESS ADDRESS: STREET 1: 9 WEST 57TH STREET STREET 2: 43RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-515-3200 MAIL ADDRESS: STREET 1: 9 WEST 57TH STREET STREET 2: 43RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Apollo Management Holdings GP, LLC CENTRAL INDEX KEY: 0001449433 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34741 FILM NUMBER: 13616930 BUSINESS ADDRESS: STREET 1: 9 W. 57TH STREET STREET 2: 43RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-515-3200 MAIL ADDRESS: STREET 1: 9 W. 57TH STREET STREET 2: 43RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Apollo Management Holdings, L.P. CENTRAL INDEX KEY: 0001449434 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34741 FILM NUMBER: 13616931 BUSINESS ADDRESS: STREET 1: 9 W. 57TH STREET STREET 2: - CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-515-3200 MAIL ADDRESS: STREET 1: 9 W. 57TH STREET STREET 2: - CITY: NEW YORK STATE: NY ZIP: 10019 5 1 a5.xml 5 X0306 5 2012-12-31 0 0 1 0001422105 Noranda Aluminum Holding CORP NOR 0001435156 Apollo Management VI, L.P. 9 WEST 57TH STREET 43RD FLOOR NEW YORK NY 10019 0 0 1 0 0001435155 AIF VI Management, LLC 9 WEST 57TH STREET 43RD FLOOR NEW YORK NY 10019 0 0 1 0 0001398053 Apollo Management, L.P. 2 MANHATTANVILLE ROAD SUITE 203 PURCHASE NY 10577 0 0 1 0 0001413410 Apollo Management GP, LLC TWO MANHATTANVILLE ROAD SUITE 203 PURCHASE NY 10577 0 0 1 0 0001449434 Apollo Management Holdings, L.P. 9 W. 57TH STREET - NEW YORK NY 10019 0 0 1 0 0001449433 Apollo Management Holdings GP, LLC 9 W. 57TH STREET 43RD FLOOR NEW YORK NY 10019 0 0 1 0 Cash Settled Restricted Stock Units 0 2012-06-01 4 A 0 L 21875 A 2013-06-01 Common Stock 21875 21875 I See footnote Cash Settled Restricted Stock Units 0 2012-08-29 4 A 0 L 142.7406 A 2013-06-01 Common Stock 142.7406 22017.7406 I See footnote Cash Settled Restricted Stock Units 0 2012-11-28 4 A 0 L 158.1166 A 2013-06-01 Common Stock 158.1166 22175.8572 I See footnote See Exhibit 99.1. [see signatures attached as Exhibit 99.2] 2013-02-14 EX-99.1 2 ex-99d1.htm EX-99.1

Exhibit 99.1

 

(1)         This Statement on Form 5 reflects the following grants made by Noranda Aluminum Holdings Corporation (the “Issuer”) to Apollo Management VI, L.P. (“Management VI”): (i) the grant on June 1, 2012 of 21,875 cash-settled restricted stock units vesting on June 1, 2013 that were granted to Management VI for its own benefit in lieu of restricted stock units that would otherwise be granted under the Issuer’s director compensation program to the directors described below, (ii) the grant on August 29, 2012 of 142.7406 cash-settled restricted stock units vesting on June 1, 2013 made in connection with a quarterly dividend of $0.04 per share of the Issuer’s common stock (the “Quarterly Dividend”), and (iii) the grant on November 28, 2012 of 158.1166 cash-settled restricted stock units vesting on June 1, 2013 made in connection with the Quarterly Dividend.  The grants made in connection with the Quarterly Dividends were made to Management VI in lieu of cash payments with respect to cash-settled restricted stock units held by Management VI on the respective record dates for the grant of the Quarterly Dividend.  The number of cash-settled restricted stock units issued with respect to each dividend was determined based on the aggregate amount of the respective dividend payable on the shares of the Issuer’s common stock underlying the restricted stock units, divided by the closing price of the Issuer’s common stock prior to the grant date.  The cash-settled restricted stock units are held by Management VI for its own benefit.  Vesting of the cash-settled restricted stock units held by Management VI is subject to the continued service of the following directors, each of whom is a full-time employee of an affiliate of Management VI or is otherwise associated with Management VI or its affiliates: Eric L. Press, Gareth Turner, M. Ali Rashid, Matthew H. Nord, Matthew R. Michelini and Henry R. Silverman (the “Apollo Individuals”) as directors of the Issuer, with prorated vesting in the event that some but not all of the Apollo Individuals cease such service.

 

AIF VI Management, LLC (“AIF VI Management”) is the general partner of Management VI.  Apollo Management, L.P. (“Apollo Management”) is the sole member and manager of AIF VI Management, and Apollo Management GP, LLC (“Management GP”) is the general partner of Apollo Management.  Apollo Management Holdings, L.P. (“Management Holdings”) is the sole member and manager of Management GP, and Apollo Management Holdings GP, LLC (“Management Holdings GP”) is the general partner of Management Holdings.

 

Leon Black, Joshua Harris and Marc Rowan are the managers, as well as principal executive officers, of Management Holdings GP.  Each of AIF VI Management, Apollo Management, Management GP, Management Holdings, Management Holdings GP, and Messrs. Black, Harris and Rowan, disclaims beneficial ownership of any of the restricted stock units granted to Management VI, except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that any such entity or person is the beneficial owner of or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

 

The address for Management VI, AIF VI Management, Apollo Management, Management GP, Management Holdings and Management Holdings GP, and Messrs. Black, Harris and Rowan, is 9 W. 57th Street, 43rd Floor, New York, New York 10019.

 

 EX-99.2 3 ex-99d2.htm EX-99.2

Exhibit 99.2

 

This Statement on Form 5 is filed by:  (i) Apollo Management VI, L.P., (ii) AIF VI Management, LLC, (iii) Apollo Management, L.P., (iv) Apollo Management GP, LLC, (v) Apollo Management Holdings, L.P. and (vi) Apollo Management Holdings GP, LLC

 

Name of Designated Filer:  Apollo Management VI, L.P.

Statement for Issuer’s Fiscal Year Ended:  December 31, 2012

Issuer Name and Ticker or Trading Symbol:  Noranda Aluminum Holding Corp [NOR]

 

 

 

APOLLO MANAGEMENT VI, L.P.

 

 

 

By:

AIF VI Management, LLC

 

 

its general partner

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

 

Laurie D. Medley

 

 

 

Vice President

 

 

 

 

 

 

 

 

 

AIF VI MANAGEMENT, LLC

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

Laurie D. Medley

 

 

Vice President

 

 

 

 

 

 

 

 

 

APOLLO MANAGEMENT, L.P.

 

 

 

 

 

By:

Apollo Management GP, LLC

 

 

its general partner

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

 

Laurie D. Medley

 

 

 

Vice President

 

 

 

 

 

 

 

 

 

APOLLO MANAGEMENT GP, LLC

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

Laurie D. Medley

 

 

Vice President

 


 

 

 

APOLLO MANAGEMENT HOLDINGS, L.P.

 

 

 

 

 

By:

Apollo Management Holdings GP, LLC

 

 

its general partner

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

 

Laurie D. Medley

 

 

 

Vice President

 

 

 

 

 

 

 

 

 

APOLLO MANAGEMENT HOLDINGS GP, LLC

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

Laurie D. Medley

 

 

Vice President