SEC Form 4 · accession 0001182489-16-001076
Philip Morris International Inc. · PM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lucio A Noto
Director
Period of report
May 4, 2016
Accepted (ET)
May 6, 2016 · 3:51 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001413329
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | May 4, 2016 | A | 1,782 | $98.225 | A | 54,481 | D | |
| Common StockF4 | holding | — | — | — | 22,196 | I | By Trust | |
| Common StockF5 | holding | — | — | — | 17,085 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF7,F9,F6,F8 | — | May 4, 2016 | J | 0 | A | — | — | Common Stock | 0 | 82,730 | D |
Explanation of responses
- F1Deferred shares awarded under the Philip Morris International Inc. 2008 Stock Compensation Plan for Non-Employee Directors.
- F2The average of the high and low price of Philip Morris International Inc. common stock on May 4, 2016.
- F3Includes 54,184 deferred shares held under the Philip Morris International Inc. 2008 Stock Compensation Plan for Non-Employee Directors, including an increase of 524 shares acquired through the reinvestment of dividends since March 31, 2016, the date of the last reportable transaction to the SEC.
- F4Shares held by the reporting person in a revocable trust for the benefit of the reporting person.
- F5The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
- F6Phantom Stock Units convert to common stock on a 1-for-1 basis.
- F7No share equivalents acquired or disposed.
- F8These units are to be settled in cash upon the reporting person's termination as a member of the Issuer's Board of Directors.
- F9Share equivalents held in the Philip Morris International Inc. 2008 Deferred Fee Plan for Non-Employee Directors. This includes an increase of 823 share equivalents acquired through the reinvestment of dividends since March 31, 2016, the date of the last reportable transaction to the SEC.