Statement of Changes in Beneficial Ownership (4)
April 02 2020 - 3:16PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Makihara Jun |
2. Issuer Name and Ticker or Trading Symbol
Philip Morris International Inc.
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PM
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
120 PARK AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/31/2020 |
(Street)
NEW YORK, NY 10017
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | | | | | | | | 14861 (1) | D | |
Common Stock | | | | | | | | 1360 | I (2) | By Spouse |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Phantom Stock Units | (3) | 3/31/2020 | | A | | 543 (4) | | (5) | (5) | Common Stock | 543 | $73.610 (6) | 11281 (7) | D | |
Explanation of Responses: |
(1) | Includes 12,861 deferred shares held under the Philip Morris International Inc. 2017 Stock Compensation Plan for Non-Employee Directors. This includes an increase of 168 share equivalents acquired through the reinvestment of dividends since December 31, 2019, the date of the last reportable transaction. |
(2) | 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. |
(3) | Phantom Stock Units convert to common stock on a 1-for-1 basis. |
(4) | These units were acquired on March 31, 2020, pursuant to the Philip Morris International Inc. 2008 Deferred Fee Plan for Non-Employee Directors. |
(5) | These units are to be settled in cash upon the reporting persons termination as a member of the Issuer's Board of Directors. |
(6) | The average of the high and low price of Philip Morris International Inc. common stock on March 31, 2020. |
(7) | Share equivalents held in the Philip Morris International Inc. 2008 Deferred Fee Plan for Non-Employee Directors. This includes an increase of 135 share equivalents acquired through the reinvestment of dividends since December 31, 2019, the date of the last reportable transaction. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Makihara Jun 120 PARK AVENUE NEW YORK, NY 10017 | X |
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Signatures
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Jerry Whitson for Jun Makihara | | 4/2/2020 |
**Signature of Reporting Person | Date |
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