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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 | (2) | 09/30/2016 | A | 217 (3) | (4) | (4) | Common Stock | 217 | $ 63.223 (5) | 26,030 (6) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FARRELL THOMAS F II 6601 WEST BROAD STREET RICHMOND, VA 23230 |
X |
W. Hildebrandt Surgner, Jr. for Thomas F. Farrell II | 10/04/2016 | |
**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 60,692 deferred shares held in the Stock Compensation Plan for Non-Employee Directors, including an increase of 489 shares acquired through the reinvestment of dividends since June 30, 2016, the date of the last reportable transaction. |
(2) | Phantom Stock Units convert to the cash value of the issuer's common stock on a 1-for-1 basis. |
(3) | These units were acquired on September 30, 2016 pursuant to the Deferred Fee Plan for Non-Employee Directors. |
(4) | The participant will receive distributions of phantom stock units in cash either prior to or following termination of service as a member of the issuer's board of directors, as elected by the participant. |
(5) | The average of the high and low price of Altria Group, Inc. common stock on September 30, 2016. |
(6) | Share equivalents held in the Deferred Fee Plan for Non-Employee Directors. This total includes the September 30, 2016 acquisition of 217 share equivalents under the Deferred Fee Plan for Non-Employee Directors, 208 share equivalents acquired through the reinvestment of dividends and 1 share equivalent as a result of the accumulation of fractional shares since June 30, 2016, the date of the last reportable transaction. |