SEC Form 4 · accession 0001275283-16-000211
REYNOLDS AMERICAN INC · RAI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald S Rolfe
Director
Period of report
Sep 30, 2016
Accepted (ET)
Oct 4, 2016 · 12:56 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001275283
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 25,268 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF5,F2,F4 | $0.00 | Sep 30, 2016 | A | 207 | A | — | — | Common Stock | 207 | 2,558 | D |
Explanation of responses
- F1Includes 193.561219 shares acquired on July 1, 2016, pursuant to a dividend reinvestment plan.
- F2One Unit represents one share of Common Stock.
- F3Under 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.
- F4Units generally are payable upon termination of the director's service with the Issuer.
- F5Includes 22.82 additional Units paid as dividends on October 3, 2016.