SEC Form 4 · accession 0001182489-16-001265
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
Sep 30, 2016
Accepted (ET)
Oct 4, 2016 · 3:39 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 | — | — | — | 55,019 | D | ||
| Common StockF2 | holding | — | — | — | 22,196 | I | By Trust | |
| Common StockF3 | 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 UnitsF5,F7,F8,F4,F6 | — | Sep 30, 2016 | A | 434 | A | — | — | Common Stock | 434 | 84,407 | D |
Explanation of responses
- F1Includes 54,722 deferred shares held under the Philip Morris International Inc. 2008 Stock Compensation Plan for Non-Employee Directors. This includes an increase of 538 share equivalents acquired through the reinvestment of dividends since June 30, 2016, the date of the last reportable transaction.
- F2Shares held by the reporting person in a revocable trust for the benefit of the reporting person.
- F3The 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.
- F4Phantom Stock Units convert to common stock on a 1-for-1 basis.
- F5These units were acquired on September 30, 2016, pursuant to the Philip Morris International Inc. 2008 Deferred Fee Plan for Non-Employee Directors.
- F6These units are to be settled in cash upon the reporting person's termination as a member of the Issuer's Board of Directors.
- F7The average of the high and low price of Philip Morris International Inc. common stock on September 30, 2016.
- F8Share equivalents held in the Philip Morris International Inc. 2008 Deferred Fee Plan for Non-Employee Directors. This includes an increase of 820 share equivalents acquired through the reinvestment of dividends since June 30, 2016, the date of the last reportable transaction.