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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 | (3) | 10/29/2004 | A | 134 (4) | (5) | (5) | Common Stock | 134 | $ 48.41 (6) | 14,348 (7) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
NOTO LUCIO A 120 PARK AVENUE NEW YORK, NY 10017 |
X |
G. Penn Holsenbeck for Lucio A. Noto | 11/02/2004 | |
**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 (i) 6,716 shares held by reporting person, (ii) 2,238 shares held jointly with spouse, (iii) 1,072 shares held in an IRA, and (iv) 5,721 deferred share equivalents held in the 2000 Stock Compensation Plan for Non-Employee Directors. |
(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 October 29, 2004 pursuant to the deferred fee program of the Altria 1992 Compensation Plan for Non-E mployee Directors. |
(5) | These units are to be settled in cash upon the reporting person's termination as a member of the issuer's board of directors. |
(6) | The average of the high and low price of Altria Group, Inc. Common Stock on October 29, 2004. |
(7) | This is an increase of 352 share equivalents since September 30, 2004, the date deferred compensation was last reported to the SEC. The total includes share equivalents acquired and the reinvestment of dividends under the deferred fee program of the Altria 1992 Compensation Plan for Non-Employee Directors. |