SEC Form 4 · accession 0001275283-17-000062
REYNOLDS AMERICAN INC · RAI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald S Rolfe
Director
Period of report
Mar 31, 2017
Accepted (ET)
Apr 4, 2017 · 4:21 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 | — | — | — | 25,721 | 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 | Mar 31, 2017 | A | 162 | A | — | — | Common Stock | 162 | 2,943 | D |
| Phantom Stock UnitsF2,F4 | $0.00 | Mar 31, 2017 | A | 486 | A | — | — | Common Stock | 486 | 486 | D |
Explanation of responses
- F1Includes 207.455954 shares acquired on January 3, 2017, 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 22.37 additional Units paid as dividends on April 3, 2017.
- F6Director has deferred his 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.