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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 | |
Berntzen Jarl CENTURY ALUMINUM COMPANY 1 SOUTH WACKER DRIVE, SUITE 1000 CHICAGO, IL 60606 |
X |
/s/ Jesse E. Gary, attorney-in-fact for Jarl Berntzen | 06/29/2016 | |
**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) | Includes (i) 12,930 performance shares granted to the reporting person on June 28, 2016 pursuant to a Rule 16b-3(d) plan representing the annual grant of service based performance shares made to directors which vest on the one year anniversary of the grant date or earlier upon the occurrence of certain other events and (ii) 6,845 performance shares granted to the reporting person on June 28, 2016 pursuant to a Rule 16b-3(d) plan representing the reporting person's annual retainer which will vest in four equal quarterly installments. |
(2) | Settlement of the performance shares has been deferred until the termination of the reporting person's service as a director of the Company. |
(3) | Includes deferred performance share units to the Reporting Person in connection with previous annual grants of Performance Shares made to the Reporting Person pursuant to a Rule 16b-3(d) plan. |