SEC Form 4 · accession 0001182489-16-001264
Philip Morris International Inc. · PM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jun Makihara
Director
Period of report
Sep 30, 2016
Accepted (ET)
Oct 4, 2016 · 3:22 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 | holding | — | — | — | 5,541 | D | ||
| Common StockF2 | holding | — | — | — | 1,360 | 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 UnitsF4,F6,F7,F3,F5 | — | Sep 30, 2016 | A | 447 | A | — | — | Common Stock | 447 | 3,608 | D |
Explanation of responses
- F1Deferred shares held under the Philip Morris International Inc. 2008 Stock Compensation Plan for Non-Employee Directors. This includes an increase of 54 share equivalents acquired through the reinvestment of dividends since June 30, 2016, the date of the last reportable transaction.
- F2The 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.
- F3Phantom Stock Units convert to common stock on a 1-for-1 basis.
- F4These units were acquired on September 30, 2016, pursuant to the Philip Morris International Inc. 2008 Deferred Fee Plan for Non-Employee Directors.
- F5These units are to be settled in cash upon the reporting persons termination as a member of the Issuer's Board of Directors.
- F6The average of the high and low price of Philip Morris International Inc. common stock on September 30, 2016.
- F7Share equivalents held in the Philip Morris International Inc. 2008 Deferred Fee Plan for Non-Employee Directors. This includes an increase of 26 share equivalents acquired through the reinvestment of dividends since June 30, 2016, the date of the last reportable transaction.