SEC Form 4 · accession 0001275283-17-000070
REYNOLDS AMERICAN INC · RAI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald S Rolfe
Director
Period of report
May 5, 2017
Accepted (ET)
May 5, 2017 · 1:15 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 | — | — | — | 25,927 | 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 UnitsF2,F4 | $0.00 | May 5, 2017 | A | 8,000 | A | — | — | Common Stock | 8,000 | 10,943 | D |
Explanation of responses
- F1Includes 206.538903 shares acquired on April 3, 2017, pursuant to a dividend reinvestment plan.
- F2One Unit represents one share of Common Stock.
- F3Under the Equity Incentive Award Plan for Directors, directors of the Issuer are awarded 8,000 Units on an annual 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.