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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Phantom Stock Units | (4) | 09/28/2018 | A | 460 (5) | (6) | (6) | Common Stock | 460 | $ 81.68 (7) | 95,138 (8) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
NOTO LUCIO A 215 OTTER ROCK DRIVE GREENWICH, CT 06830 |
X |
Jerry Whitson for Lucio A. Noto | 10/02/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Includes 63,335 deferred shares held under the Philip Morris International Inc. 2017 Stock Compensation Plan for Non-Employee Directors. This includes an increase of 860 share equivalents acquired through the reinvestment of dividends since June 29, 2018, the date of the last reportable transaction. |
(2) | Shares held by the reporting person in a revocable trust for the benefit of the reporting person. |
(3) | The 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. |
(4) | Phantom Stock Units convert to common stock on a 1-for-1 basis. |
(5) | These units were acquired on September 28, 2018, pursuant to the Philip Morris International Inc. 2008 Deferred Fee Plan for Non-Employee Directors. |
(6) | These units are to be settled in cash upon the reporting person's termination as a member of the Issuer's Board of Directors. |
(7) | The average of the high and low price of Philip Morris International Inc. common stock on September 28, 2018. |
(8) | Share equivalents held in the Philip Morris International Inc. 2008 Deferred Fee Plan for Non-Employee Directors. This includes an increase of 1,279 share equivalents acquired through the reinvestment of dividends since June 29, 2018, the date of the last reportable transaction. |