Statement of Changes in Beneficial Ownership (4)
February 19 2020 - 3:44PM
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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OMB Number:
3235-0287
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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
*
MUNOZ GEORGE |
2. Issuer Name and Ticker or Trading Symbol
ALTRIA GROUP, INC.
[
MO
]
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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)
6601 WEST BROAD STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/14/2020 |
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(Street)
RICHMOND, VA 23230
(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 | | | | | | | | 74538 (1) | D | |
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 | (2) | 2/14/2020 | | J | | 0 (3) | | (4) | (4) | Common Stock | 0 | $0 | 13571 (5) | D | |
| Phantom Stock Units | (2) | 2/14/2020 | | M | | | 1001 (6) | (4) | (4) | Common Stock | 1001 | $45.34 (7) | 12570 (8) | D | |
| Explanation of Responses: |
| (1) | Includes 9,916 deferred shares held under the Stock Compensation Plan for Non-Employee Directors, including an increase of 723 shares acquired through the reinvestment of dividends since December 31, 2019, 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) | No share equivalents acquired or disposed. |
| (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 previously elected by the participant. |
| (5) | Share equivalents held in the Deferred Fee Plan for Non-Employee Directors. This includes an increase of 245 share equivalents acquired through the reinvestment of dividends since December 31, 2019, the date cumulative holdings in the Deferred Fee Plan for Non-Employee Directors were last reported to the SEC. |
| (6) | These share equivalents are being settled in cash pursuant to the Deferred Fee Plan for Non-Employee Directors, as elected by the participant in 2008. |
| (7) | The average of the high and low price of Altria Group, Inc. common stock on February 14, 2020. |
| (8) | Share equivalents held in the Deferred Fee Plan for Non-Employee Directors. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
MUNOZ GEORGE
6601 WEST BROAD STREET
RICHMOND, VA 23230 | X |
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Signatures
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| W. Hildebrandt Surgner, Jr. for George Munoz | | 2/19/2020 |
| **Signature of Reporting Person | Date |
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