0001104659-23-024390.txt : 20230222 0001104659-23-024390.hdr.sgml : 20230222 20230222181027 ACCESSION NUMBER: 0001104659-23-024390 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230219 FILED AS OF DATE: 20230222 DATE AS OF CHANGE: 20230222 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hendry Jon CENTRAL INDEX KEY: 0001942217 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39036 FILM NUMBER: 23655066 MAIL ADDRESS: STREET 1: 401 DEMERS AVENUE CITY: GRAND FORKS STATE: ND ZIP: 58201 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ALERUS FINANCIAL CORP CENTRAL INDEX KEY: 0000903419 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 450375407 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 401 DEMERS AVE CITY: GRAND FORKS STATE: ND ZIP: 58201 BUSINESS PHONE: 7017953200 MAIL ADDRESS: STREET 1: PO BOX 6001 STREET 2: 401 DEMERS AVE CITY: GRAND FORKS STATE: ND ZIP: 58206-6001 FORMER COMPANY: FORMER CONFORMED NAME: FIRST NATIONAL CORP NORTH DAKOTA DATE OF NAME CHANGE: 19980312 4 1 tm237386-4_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2023-02-19 0 0000903419 ALERUS FINANCIAL CORP ALRS 0001942217 Hendry Jon 401 DEMERS AVENUE GRAND FORKS ND 58201 0 1 0 0 Chief Technology Officer & EVP Common Stock 2023-02-19 4 M 0 3232 A 50106 D Common Stock 2023-02-19 4 A 0 1616 0.00 A 51722 D Common Stock 2023-02-19 4 F 0 1527 20.25 D 50195 D Common Stock 3000 I By spouse Common Stock 21051.8737 I By the Alerus Financial Corporation Employee Stock Ownership Plan Peformance-Based Restricted Stock Units 2023-02-19 4 M 0 3232 0.00 D Common Stock 3232 0 D Performance-based restricted stock units convert into common stock on a one-for-one basis. Includes 46,398 shares held jointly with Mr. Hendry's spouse. Reflects ESOP allocations that have occurred since the date of the reporting person's last ownership report. On February 19, 2020 the reporting person was granted 3,232 performance-based restricted stock units, vesting on February 19, 2023, so long as Alerus Financial Corporation meets certain total stockholder return goals. /s/ Scott Fenske, by power of attorney 2023-02-22