SEC Form 4 · accession 0001275283-16-000207
REYNOLDS AMERICAN INC · RAI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Holly K Koeppel
Director
Period of report
Sep 30, 2016
Accepted (ET)
Oct 4, 2016 · 12:54 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001275283
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF4,F1,F3 | $0.00 | Sep 30, 2016 | A | 207 | A | — | — | Common Stock | 207 | 112,836 | D |
| Phantom Stock UnitsF6,F1,F3 | $0.00 | Sep 30, 2016 | A | 621 | A | — | — | Common Stock | 621 | 18,800 | D |
Explanation of responses
- F1One Unit represents one share of Common Stock.
- F2Under the Equity Incentive Award Plan for Directors, eligible directors of the Issuer are awarded Units on a quarterly basis. Units bear quarterly dividends at the same rate as Issuer's Common Stock, but the dividends are paid in the form of additional Units.
- F3Units generally are payable upon termination of the director's service with the Issuer.
- F4Includes 1093.25 additional Units paid as dividends on October 3, 2016.
- F5Director has deferred her cash compensation into Units under the Deferred Compensation Plan for Directors. Units bear quarterly dividends at the same rate as Issuer's Common Stock, but the dividends are paid in the form of additional Units.
- F6Includes 176.46 additional Units paid as dividends on October 3, 2016.