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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 | ||||||||
Option (Right to Buy) | $ 32.9277 (4) | 06/24/1997(4) | J | V | 0 | 06/24/1998 | 06/22/2007 | Common Stock | 5,700 | $ 0 | 5,700 | D | |||
Option (Right to Buy) | $ 29.8085 (4) | 06/23/1998(4) | J | V | 0 | 06/23/1999 | 06/23/2008 | Common Stock | 9,220 | $ 0 | 9,220 | D | |||
Option (Right to Buy) | $ 30.0196 (4) | 06/29/1999(4) | J | V | 0 | 06/29/2000 | 06/29/2009 | Common Stock | 11,250 | $ 0 | 11,250 | D | |||
Option (Right to Buy) | $ 16.0183 (4) | 01/26/2000(4) | J | V | 0 | 01/26/2001 | 01/26/2010 | Common Stock | 37,490 | $ 0 | 37,490 | D | |||
Option (Right to Buy) | $ 33.303 (4) | 01/31/2001(4) | J | V | 0 | 01/31/2002 | 01/31/2011 | Common Stock | 28,170 | $ 0 | 28,170 | D | |||
Option (Right to Buy) | $ 36.804 (4) | 06/12/2001(4) | J | V | 0 | 01/31/2003 | 06/12/2011 | Common Stock | 26,620 | $ 0 | 26,620 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TIESI JOSEPH A 120 PARK AVENUE NEW YORK, NY 10017 |
VP and Controller |
G. Penn Holsenbeck for Joseph A. Tiesi | 04/20/2007 | |
**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) | Reflects an adjustment to previously granted deferred shares awarded on January 31, 2007 in accordance with the terms of the 2005 Performance Incentive Plan in connection with the spin-off of Kraft Foods Inc. on March 30, 2007. |
(2) | Includes 21,250 shares of Restricted Stock and 11,445 shares of Deferred Stock. |
(3) | Shares held in the Altria Deferred Profit Sharing Plan as of March 31, 2007. |
(4) | Reflects a price adjustment to a previously issued option award in accordance with the terms of the Company's equity compensation plans in connection with the spin-off of Kraft Foods Inc. on March 30, 2007. |