Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| OLD REPUBLIC INTERNATIONAL CORPORI · Entity 1438 | Director | January 29, 2026 | February 02, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
OLD REPUBLIC INTERNATIONAL CORP
Report date January 29, 2026 · Filed February 02, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 13,822 |
Ending reported balance
After 2026-01-29 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-01-29 · Grant · Acquired 1,918 · Balance 14,663 F1: Represents restricted stock units, vesting on the one-year anniversary of the grant date. In order to provide the reporting person with liquidity for any tax obligations that arise upon vesting of the restricted stock units, prior to the vesting date, the reporting person may elect to receive a portion of the award in cash in lieu of Common Stock in an amount that does not exceed the expected tax liability based on the maximum individual statutory tax rates. Row 2 · 2026-01-29 · Tax withholding · Disposed 841 · Balance 13,822 F2: Shares surrendered in exchange for a cash payment to satisfy tax liabilities incident to the vesting of previously awarded restricted stock units. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents restricted stock units, vesting on the one-year anniversary of the grant date. In order to provide the reporting person with liquidity for any tax obligations that arise upon vesting of the restricted stock units, prior to the vesting date, the reporting person may elect to receive a portion of the award in cash in lieu of Common Stock in an amount that does not exceed the expected tax liability based on the maximum individual statutory tax rates.
F2: Shares surrendered in exchange for a cash payment to satisfy tax liabilities incident to the vesting of previously awarded restricted stock units.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
REYNOLDS AMERICAN INC
Report date July 25, 2017 · Filed July 26, 2017
Section 16 reporting ended · disclosed 2017-07-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-07-25 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2017-07-25 · Disposition to issuer · Disposed 39,674 · Balance 0 F1: On January 16, 2017, Reynolds American Inc. ("RAI"), British American Tobacco p.l.c. ("BAT"), BATUS Holdings Inc., an indirect, wholly owned subsidiary of BAT, and Flight Acquisition Corporation, an indirect, wholly owned subsidiary of BAT ("Merger Sub"), entered into an Agreement and Plan of Merger (the "Merger Agreement"), as it and the plan of merger contained therein were amended as of June 8, 2017, pursuant to which, on July 25, 2017, Merger Sub merged (the "Merger") with and into RAI, with RAI surviving as an indirect, wholly owned subsidiary of BAT. F2: (Continued from footnote 1) On July 25, 2017, each share of common stock, par value $0.0001 per share, of RAI (other than shares owned by BAT and its subsidiaries and shares held by stockholders who have properly asserted (and not lost or effectively withdrawn) a demand for appraisal rights) was automatically converted into the right to receive the merger consideration, consisting of (a) $29.44 in cash and (b) 0.5260 of one American depositary share of BAT (a "BAT ADS") (representing one ordinary share, par value 25 pence per share, of BAT) (collectively, the "Merger Consideration"). |
| Common StockSEC Table I · non-derivative | Direct | 25,894 |
Reported balance
After 2017-07-25 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2017-07-25 · Grant · Acquired 25,894 · Balance 25,894 F3: Reflects performance shares deemed earned at a 118% achievement level under 2015 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2015 Annual Incentive Award Program ("AIAP") score with the 2016 AIAP score and a score of 100% under the 2017 AIAP, pro-rated based on the number of days from the grant date of such awards through July 25, 2017. |
| Common StockSEC Table I · non-derivative | Direct | 48,546 |
Reported balance
After 2017-07-25 transaction · row 4
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 4 · 2017-07-25 · Grant · Acquired 22,652 · Balance 48,546 F4: Reflects performance shares deemed earned at a 104% achievement level under 2016 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2016 AIAP score with a score of 100% under the 2017 AIAP and a score of 100% under the 2018 AIAP. F3: Reflects performance shares deemed earned at a 118% achievement level under 2015 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2015 Annual Incentive Award Program ("AIAP") score with the 2016 AIAP score and a score of 100% under the 2017 AIAP, pro-rated based on the number of days from the grant date of such awards through July 25, 2017. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-07-25 transaction · row 8
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 8 · 2017-07-25 · Disposition to issuer · Disposed 48,546 · Balance 0 F3: Reflects performance shares deemed earned at a 118% achievement level under 2015 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2015 Annual Incentive Award Program ("AIAP") score with the 2016 AIAP score and a score of 100% under the 2017 AIAP, pro-rated based on the number of days from the grant date of such awards through July 25, 2017. F4: Reflects performance shares deemed earned at a 104% achievement level under 2016 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2016 AIAP score with a score of 100% under the 2017 AIAP and a score of 100% under the 2018 AIAP. F5: As a result of the transactions described in the Merger Agreement, each of these performance shares deemed earned in connection with the Merger was automatically converted into the right to receive the Merger Consideration, plus any dividend equivalents. |
| Common StockSEC Table I · non-derivative | Direct | 18,119 |
Reported balance
After 2017-07-25 transaction · row 9
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 9 · 2017-07-25 · Grant · Acquired 18,119 · Balance 18,119 F6: Reflects performance shares deemed earned at a 100% achievement level under 2017 performance share awards in connection with the Merger based on the target award opportunity. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-07-25 transaction · row 10
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 10 · 2017-07-25 · Disposition to issuer · Disposed 18,119 · Balance 0 F6: Reflects performance shares deemed earned at a 100% achievement level under 2017 performance share awards in connection with the Merger based on the target award opportunity. F7: As a result of the transactions described in the Merger Agreement, each of these performance shares was automatically converted into the right to receive a number of performance-based stock units, each tracking the value of one BAT ADS, equal to the sum (rounded down to the nearest whole BAT ADS, plus cash for any fractional BAT ADS) of (a) 0.5260 and (b) the quotient of (i) $29.44 divided by (ii) the closing price ($69.25) of one BAT ADS on July 24, 2017 as reported on the New York Stock Exchange, and otherwise subject to substantially the same terms and conditions as were applicable prior to the Merger, including any applicable vesting criteria. |
| Common StockSEC Table I · non-derivative | IndirectOwned by Spouse | 657 |
Reported balance
After 2017-07-25 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2017-07-25 · Grant · Acquired 657 · Balance 657 F3: Reflects performance shares deemed earned at a 118% achievement level under 2015 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2015 Annual Incentive Award Program ("AIAP") score with the 2016 AIAP score and a score of 100% under the 2017 AIAP, pro-rated based on the number of days from the grant date of such awards through July 25, 2017. |
| Common StockSEC Table I · non-derivative | IndirectOwned by Spouse | 1,697 |
Reported balance
After 2017-07-25 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 5 · 2017-07-25 · Grant · Acquired 1,040 · Balance 1,697 F4: Reflects performance shares deemed earned at a 104% achievement level under 2016 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2016 AIAP score with a score of 100% under the 2017 AIAP and a score of 100% under the 2018 AIAP. F3: Reflects performance shares deemed earned at a 118% achievement level under 2015 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2015 Annual Incentive Award Program ("AIAP") score with the 2016 AIAP score and a score of 100% under the 2017 AIAP, pro-rated based on the number of days from the grant date of such awards through July 25, 2017. |
| Common StockSEC Table I · non-derivative | IndirectOwned by Spouse | 1,040 |
Reported balance
After 2017-07-25 transaction · row 6
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 6 · 2017-07-25 · Disposition to issuer · Disposed 657 · Balance 1,040 F3: Reflects performance shares deemed earned at a 118% achievement level under 2015 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2015 Annual Incentive Award Program ("AIAP") score with the 2016 AIAP score and a score of 100% under the 2017 AIAP, pro-rated based on the number of days from the grant date of such awards through July 25, 2017. F5: As a result of the transactions described in the Merger Agreement, each of these performance shares deemed earned in connection with the Merger was automatically converted into the right to receive the Merger Consideration, plus any dividend equivalents. F4: Reflects performance shares deemed earned at a 104% achievement level under 2016 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2016 AIAP score with a score of 100% under the 2017 AIAP and a score of 100% under the 2018 AIAP. |
| Common StockSEC Table I · non-derivative | IndirectOwned by Spouse | 0 |
Reported balance
After 2017-07-25 transaction · row 7
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 7 · 2017-07-25 · Disposition to issuer · Disposed 1,040 · Balance 0 F4: Reflects performance shares deemed earned at a 104% achievement level under 2016 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2016 AIAP score with a score of 100% under the 2017 AIAP and a score of 100% under the 2018 AIAP. F5: As a result of the transactions described in the Merger Agreement, each of these performance shares deemed earned in connection with the Merger was automatically converted into the right to receive the Merger Consideration, plus any dividend equivalents. |
Filing footnotes · ownership attribution and instrument terms
F1: On January 16, 2017, Reynolds American Inc. ("RAI"), British American Tobacco p.l.c. ("BAT"), BATUS Holdings Inc., an indirect, wholly owned subsidiary of BAT, and Flight Acquisition Corporation, an indirect, wholly owned subsidiary of BAT ("Merger Sub"), entered into an Agreement and Plan of Merger (the "Merger Agreement"), as it and the plan of merger contained therein were amended as of June 8, 2017, pursuant to which, on July 25, 2017, Merger Sub merged (the "Merger") with and into RAI, with RAI surviving as an indirect, wholly owned subsidiary of BAT.
F2: (Continued from footnote 1) On July 25, 2017, each share of common stock, par value $0.0001 per share, of RAI (other than shares owned by BAT and its subsidiaries and shares held by stockholders who have properly asserted (and not lost or effectively withdrawn) a demand for appraisal rights) was automatically converted into the right to receive the merger consideration, consisting of (a) $29.44 in cash and (b) 0.5260 of one American depositary share of BAT (a "BAT ADS") (representing one ordinary share, par value 25 pence per share, of BAT) (collectively, the "Merger Consideration").
F3: Reflects performance shares deemed earned at a 118% achievement level under 2015 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2015 Annual Incentive Award Program ("AIAP") score with the 2016 AIAP score and a score of 100% under the 2017 AIAP, pro-rated based on the number of days from the grant date of such awards through July 25, 2017.
F4: Reflects performance shares deemed earned at a 104% achievement level under 2016 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2016 AIAP score with a score of 100% under the 2017 AIAP and a score of 100% under the 2018 AIAP.
F5: As a result of the transactions described in the Merger Agreement, each of these performance shares deemed earned in connection with the Merger was automatically converted into the right to receive the Merger Consideration, plus any dividend equivalents.
F6: Reflects performance shares deemed earned at a 100% achievement level under 2017 performance share awards in connection with the Merger based on the target award opportunity.
F7: As a result of the transactions described in the Merger Agreement, each of these performance shares was automatically converted into the right to receive a number of performance-based stock units, each tracking the value of one BAT ADS, equal to the sum (rounded down to the nearest whole BAT ADS, plus cash for any fractional BAT ADS) of (a) 0.5260 and (b) the quotient of (i) $29.44 divided by (ii) the closing price ($69.25) of one BAT ADS on July 24, 2017 as reported on the New York Stock Exchange, and otherwise subject to substantially the same terms and conditions as were applicable prior to the Merger, including any applicable vesting criteria.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 29, 2026 Filed Feb 2, 2026 19:13 UTC | OLD REPUBLIC INTERNATIONAL CORP ORI · Entity 1438 | Tax withholdingCommon Stock | 841 | $39.05 | $32,841.05 |
DisclosureSEC source: 0001379325-26-000002 · wk-form4_1770059584.xml · nonDerivative · entry 2 CALDWELL LISA J · CIK 0001379325 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,822 F2 · shares: Shares surrendered in exchange for a cash payment to satisfy tax liabilities incident to the vesting of previously awarded restricted stock units. Read SEC document |
| January 29, 2026 Filed Feb 2, 2026 19:13 UTC | OLD REPUBLIC INTERNATIONAL CORP ORI · Entity 1438 | GrantCommon Stock | 1,918 | $0.00 | $0.00 |
DisclosureSEC source: 0001379325-26-000002 · wk-form4_1770059584.xml · nonDerivative · entry 1 CALDWELL LISA J · CIK 0001379325 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,663 F1 · shares: Represents restricted stock units, vesting on the one-year anniversary of the grant date. In order to provide the reporting person with liquidity for any tax obligations that arise upon vesting of the restricted stock units, prior to the vesting date, the reporting person may elect to receive a portion of the award in cash in lieu of Common Stock in an amount that does not exceed the expected tax liability based on the maximum individual statutory tax rates. Read SEC document |
| January 29, 2025 Filed Jan 31, 2025 18:38 UTC | OLD REPUBLIC INTERNATIONAL CORP ORI · Entity 1438 | GrantCommon Stock | 2,039 | $0.00 | $0.00 |
DisclosureSEC source: 0000074260-25-000012 · wk-form4_1738348684.xml · nonDerivative · entry 1 CALDWELL LISA J · CIK 0001379325 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,745 F1 · shares: Represents restricted stock units granted under the Issuer's incentive compensation plan, which were awarded for no consideration. The restricted stock units reported herein will vest on the one-year anniversary of the grant date. Read SEC document |
| May 27, 2022 Filed May 31, 2022 17:25 UTC | OLD REPUBLIC INTERNATIONAL CORP ORI · Entity 1438 | PurchaseCommon Stock | 9,920 | $23.63 | $234,409.60 |
DisclosureSEC source: 0000074260-22-000042 · wf-form4_165401790234492.xml · nonDerivative · entry 1 CALDWELL LISA J · CIK 0001379325 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,706 Read SEC document |
| September 01, 2021 Filed Sep 2, 2021 17:43 UTC | OLD REPUBLIC INTERNATIONAL CORP ORI · Entity 1438 | PurchaseCommon Stock | 576 | $25.98 | $14,964.48 |
DisclosureSEC source: 0000074260-21-000094 · wf-form4_163060459289650.xml · nonDerivative · entry 1 CALDWELL LISA J · CIK 0001379325 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 786 Read SEC document |
| July 25, 2017 Filed Jul 26, 2017 20:10 UTC | REYNOLDS AMERICAN INC RAI · Entity 174221 | Disposition to issuerCommon Stock | 18,119 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-019019 · doc4.xml · nonDerivative · entry 10 CALDWELL LISA J · CIK 0001379325 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F6 · shares: Reflects performance shares deemed earned at a 100% achievement level under 2017 performance share awards in connection with the Merger based on the target award opportunity. F7 · price: As a result of the transactions described in the Merger Agreement, each of these performance shares was automatically converted into the right to receive a number of performance-based stock units, each tracking the value of one BAT ADS, equal to the sum (rounded down to the nearest whole BAT ADS, plus cash for any fractional BAT ADS) of (a) 0.5260 and (b) the quotient of (i) $29.44 divided by (ii) the closing price ($69.25) of one BAT ADS on July 24, 2017 as reported on the New York Stock Exchange, and otherwise subject to substantially the same terms and conditions as were applicable prior to the Merger, including any applicable vesting criteria. Read SEC document |
| July 25, 2017 Filed Jul 26, 2017 20:10 UTC | REYNOLDS AMERICAN INC RAI · Entity 174221 | GrantCommon Stock | 18,119 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-019019 · doc4.xml · nonDerivative · entry 9 CALDWELL LISA J · CIK 0001379325 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,119 F6 · shares: Reflects performance shares deemed earned at a 100% achievement level under 2017 performance share awards in connection with the Merger based on the target award opportunity. F6 · price: Reflects performance shares deemed earned at a 100% achievement level under 2017 performance share awards in connection with the Merger based on the target award opportunity. F6 · balance_after: Reflects performance shares deemed earned at a 100% achievement level under 2017 performance share awards in connection with the Merger based on the target award opportunity. Read SEC document |
| July 25, 2017 Filed Jul 26, 2017 20:10 UTC | REYNOLDS AMERICAN INC RAI · Entity 174221 | Disposition to issuerCommon Stock | 48,546 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-019019 · doc4.xml · nonDerivative · entry 8 CALDWELL LISA J · CIK 0001379325 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F3 · shares: Reflects performance shares deemed earned at a 118% achievement level under 2015 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2015 Annual Incentive Award Program ("AIAP") score with the 2016 AIAP score and a score of 100% under the 2017 AIAP, pro-rated based on the number of days from the grant date of such awards through July 25, 2017. F4 · shares: Reflects performance shares deemed earned at a 104% achievement level under 2016 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2016 AIAP score with a score of 100% under the 2017 AIAP and a score of 100% under the 2018 AIAP. F5 · price: As a result of the transactions described in the Merger Agreement, each of these performance shares deemed earned in connection with the Merger was automatically converted into the right to receive the Merger Consideration, plus any dividend equivalents. Read SEC document |
| July 25, 2017 Filed Jul 26, 2017 20:10 UTC | REYNOLDS AMERICAN INC RAI · Entity 174221 | Disposition to issuerCommon Stock | 1,040 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-019019 · doc4.xml · nonDerivative · entry 7 CALDWELL LISA J · CIK 0001379325 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Spouse Disclosed balance after: 0 F4 · shares: Reflects performance shares deemed earned at a 104% achievement level under 2016 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2016 AIAP score with a score of 100% under the 2017 AIAP and a score of 100% under the 2018 AIAP. F5 · price: As a result of the transactions described in the Merger Agreement, each of these performance shares deemed earned in connection with the Merger was automatically converted into the right to receive the Merger Consideration, plus any dividend equivalents. Read SEC document |
| July 25, 2017 Filed Jul 26, 2017 20:10 UTC | REYNOLDS AMERICAN INC RAI · Entity 174221 | Disposition to issuerCommon Stock | 657 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-019019 · doc4.xml · nonDerivative · entry 6 CALDWELL LISA J · CIK 0001379325 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Spouse Disclosed balance after: 1,040 F3 · shares: Reflects performance shares deemed earned at a 118% achievement level under 2015 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2015 Annual Incentive Award Program ("AIAP") score with the 2016 AIAP score and a score of 100% under the 2017 AIAP, pro-rated based on the number of days from the grant date of such awards through July 25, 2017. F5 · price: As a result of the transactions described in the Merger Agreement, each of these performance shares deemed earned in connection with the Merger was automatically converted into the right to receive the Merger Consideration, plus any dividend equivalents. F4 · balance_after: Reflects performance shares deemed earned at a 104% achievement level under 2016 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2016 AIAP score with a score of 100% under the 2017 AIAP and a score of 100% under the 2018 AIAP. Read SEC document |
| July 25, 2017 Filed Jul 26, 2017 20:10 UTC | REYNOLDS AMERICAN INC RAI · Entity 174221 | GrantCommon Stock | 1,040 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-019019 · doc4.xml · nonDerivative · entry 5 CALDWELL LISA J · CIK 0001379325 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Spouse Disclosed balance after: 1,697 F4 · shares: Reflects performance shares deemed earned at a 104% achievement level under 2016 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2016 AIAP score with a score of 100% under the 2017 AIAP and a score of 100% under the 2018 AIAP. F4 · price: Reflects performance shares deemed earned at a 104% achievement level under 2016 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2016 AIAP score with a score of 100% under the 2017 AIAP and a score of 100% under the 2018 AIAP. F3 · balance_after: Reflects performance shares deemed earned at a 118% achievement level under 2015 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2015 Annual Incentive Award Program ("AIAP") score with the 2016 AIAP score and a score of 100% under the 2017 AIAP, pro-rated based on the number of days from the grant date of such awards through July 25, 2017. F4 · balance_after: Reflects performance shares deemed earned at a 104% achievement level under 2016 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2016 AIAP score with a score of 100% under the 2017 AIAP and a score of 100% under the 2018 AIAP. Read SEC document |
| July 25, 2017 Filed Jul 26, 2017 20:10 UTC | REYNOLDS AMERICAN INC RAI · Entity 174221 | GrantCommon Stock | 22,652 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-019019 · doc4.xml · nonDerivative · entry 4 CALDWELL LISA J · CIK 0001379325 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,546 F4 · shares: Reflects performance shares deemed earned at a 104% achievement level under 2016 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2016 AIAP score with a score of 100% under the 2017 AIAP and a score of 100% under the 2018 AIAP. F4 · price: Reflects performance shares deemed earned at a 104% achievement level under 2016 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2016 AIAP score with a score of 100% under the 2017 AIAP and a score of 100% under the 2018 AIAP. F3 · balance_after: Reflects performance shares deemed earned at a 118% achievement level under 2015 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2015 Annual Incentive Award Program ("AIAP") score with the 2016 AIAP score and a score of 100% under the 2017 AIAP, pro-rated based on the number of days from the grant date of such awards through July 25, 2017. F4 · balance_after: Reflects performance shares deemed earned at a 104% achievement level under 2016 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2016 AIAP score with a score of 100% under the 2017 AIAP and a score of 100% under the 2018 AIAP. Read SEC document |
| July 25, 2017 Filed Jul 26, 2017 20:10 UTC | REYNOLDS AMERICAN INC RAI · Entity 174221 | GrantCommon Stock | 657 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-019019 · doc4.xml · nonDerivative · entry 3 CALDWELL LISA J · CIK 0001379325 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Spouse Disclosed balance after: 657 F3 · shares: Reflects performance shares deemed earned at a 118% achievement level under 2015 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2015 Annual Incentive Award Program ("AIAP") score with the 2016 AIAP score and a score of 100% under the 2017 AIAP, pro-rated based on the number of days from the grant date of such awards through July 25, 2017. F3 · price: Reflects performance shares deemed earned at a 118% achievement level under 2015 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2015 Annual Incentive Award Program ("AIAP") score with the 2016 AIAP score and a score of 100% under the 2017 AIAP, pro-rated based on the number of days from the grant date of such awards through July 25, 2017. F3 · balance_after: Reflects performance shares deemed earned at a 118% achievement level under 2015 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2015 Annual Incentive Award Program ("AIAP") score with the 2016 AIAP score and a score of 100% under the 2017 AIAP, pro-rated based on the number of days from the grant date of such awards through July 25, 2017. Read SEC document |
| July 25, 2017 Filed Jul 26, 2017 20:10 UTC | REYNOLDS AMERICAN INC RAI · Entity 174221 | GrantCommon Stock | 25,894 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-019019 · doc4.xml · nonDerivative · entry 2 CALDWELL LISA J · CIK 0001379325 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,894 F3 · shares: Reflects performance shares deemed earned at a 118% achievement level under 2015 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2015 Annual Incentive Award Program ("AIAP") score with the 2016 AIAP score and a score of 100% under the 2017 AIAP, pro-rated based on the number of days from the grant date of such awards through July 25, 2017. F3 · price: Reflects performance shares deemed earned at a 118% achievement level under 2015 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2015 Annual Incentive Award Program ("AIAP") score with the 2016 AIAP score and a score of 100% under the 2017 AIAP, pro-rated based on the number of days from the grant date of such awards through July 25, 2017. F3 · balance_after: Reflects performance shares deemed earned at a 118% achievement level under 2015 performance share awards in connection with the Merger based on the target award opportunity, the average of the 2015 Annual Incentive Award Program ("AIAP") score with the 2016 AIAP score and a score of 100% under the 2017 AIAP, pro-rated based on the number of days from the grant date of such awards through July 25, 2017. Read SEC document |
| July 25, 2017 Filed Jul 26, 2017 20:10 UTC | REYNOLDS AMERICAN INC RAI · Entity 174221 | Disposition to issuerCommon Stock | 39,674 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-019019 · doc4.xml · nonDerivative · entry 1 CALDWELL LISA J · CIK 0001379325 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: On January 16, 2017, Reynolds American Inc. ("RAI"), British American Tobacco p.l.c. ("BAT"), BATUS Holdings Inc., an indirect, wholly owned subsidiary of BAT, and Flight Acquisition Corporation, an indirect, wholly owned subsidiary of BAT ("Merger Sub"), entered into an Agreement and Plan of Merger (the "Merger Agreement"), as it and the plan of merger contained therein were amended as of June 8, 2017, pursuant to which, on July 25, 2017, Merger Sub merged (the "Merger") with and into RAI, with RAI surviving as an indirect, wholly owned subsidiary of BAT. F2 · price: (Continued from footnote 1) On July 25, 2017, each share of common stock, par value $0.0001 per share, of RAI (other than shares owned by BAT and its subsidiaries and shares held by stockholders who have properly asserted (and not lost or effectively withdrawn) a demand for appraisal rights) was automatically converted into the right to receive the merger consideration, consisting of (a) $29.44 in cash and (b) 0.5260 of one American depositary share of BAT (a "BAT ADS") (representing one ordinary share, par value 25 pence per share, of BAT) (collectively, the "Merger Consideration"). Read SEC document |
| March 14, 2017 Filed Mar 14, 2017 20:43 UTC | REYNOLDS AMERICAN INC RAI · Entity 174221 | GiftCommon Stock | 1,658 | $0.00 | $0.00 |
DisclosureSEC source: 0001275283-17-000050 · edgar.xml · nonDerivative · entry 3 CALDWELL LISA J · CIK 0001379325 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,674 Read SEC document |
| March 13, 2017 Filed Mar 14, 2017 20:43 UTC | REYNOLDS AMERICAN INC RAI · Entity 174221 | SaleCommon Stock | 1,216 | $60.71 | $73,822.02 |
DisclosureSEC source: 0001275283-17-000050 · edgar.xml · nonDerivative · entry 2 CALDWELL LISA J · CIK 0001379325 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by spouse Disclosed balance after: 0 F3 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person's spouse on May 20, 2016. F4 · price: The price reported in Column 4 is a weighted average price. These share were sold in multiple transactions at prices ranging from $60.65 to $60.81, inclusive. The reporting person undertakes to provide to RAI, any security holder of RAI, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (4) to this Form 4. F5 · balance_after: 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. Read SEC document |
| March 13, 2017 Filed Mar 14, 2017 20:43 UTC | REYNOLDS AMERICAN INC RAI · Entity 174221 | SaleCommon Stock | 26,888 | $60.68 | $1,631,434.78 |
DisclosureSEC source: 0001275283-17-000050 · edgar.xml · nonDerivative · entry 1 CALDWELL LISA J · CIK 0001379325 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,332 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 20, 2016. F2 · price: The price reported in Column 4 is a weighted average price. These share were sold in multiple transactions at prices ranging from $60.58 to $60.82, inclusive. The reporting person undertakes to provide to RAI, any security holder of RAI, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4. Read SEC document |
| March 03, 2017 Filed Mar 6, 2017 21:42 UTC | REYNOLDS AMERICAN INC RAI · Entity 174221 | Tax withholdingCommon Stock | 684 | $61.39 | $41,990.76 |
DisclosureSEC source: 0001275283-17-000032 · edgar.xml · nonDerivative · entry 2 CALDWELL LISA J · CIK 0001379325 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by spouse Disclosed balance after: 1,216 Read SEC document |
| March 03, 2017 Filed Mar 6, 2017 21:42 UTC | REYNOLDS AMERICAN INC RAI · Entity 174221 | Tax withholdingCommon Stock | 23,816 | $61.39 | $1,462,064.24 |
DisclosureSEC source: 0001275283-17-000032 · edgar.xml · nonDerivative · entry 1 CALDWELL LISA J · CIK 0001379325 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,220 Read SEC document |
| February 15, 2017 Filed Feb 16, 2017 20:57 UTC | REYNOLDS AMERICAN INC RAI · Entity 174221 | GiftCommon Stock | 840 | $0.00 | $0.00 |
DisclosureSEC source: 0001275283-17-000028 · edgar.xml · nonDerivative · entry 2 CALDWELL LISA J · CIK 0001379325 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,036 Read SEC document |
| February 15, 2017 Filed Feb 16, 2017 20:57 UTC | REYNOLDS AMERICAN INC RAI · Entity 174221 | GiftCommon Stock | 9,171 | $0.00 | $0.00 |
DisclosureSEC source: 0001275283-17-000028 · edgar.xml · nonDerivative · entry 1 CALDWELL LISA J · CIK 0001379325 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,876 Read SEC document |
| February 01, 2017 Filed Feb 3, 2017 20:32 UTC | REYNOLDS AMERICAN INC RAI · Entity 174221 | GrantCommon Stock | 1,900 | $0.00 | $0.00 |
DisclosureSEC source: 0001275283-17-000013 · edgar.xml · nonDerivative · entry 2 CALDWELL LISA J · CIK 0001379325 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by spouse Disclosed balance after: 1,900 F1 · shares: Performance shares (each equals 1 share of RAI Common Stock) earned based on 2014-2016 performance period, and subject to time-based vesting through March 3, 2017. Read SEC document |
| February 01, 2017 Filed Feb 3, 2017 20:32 UTC | REYNOLDS AMERICAN INC RAI · Entity 174221 | GrantCommon Stock | 50,704 | $0.00 | $0.00 |
DisclosureSEC source: 0001275283-17-000013 · edgar.xml · nonDerivative · entry 1 CALDWELL LISA J · CIK 0001379325 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,047 F1 · shares: Performance shares (each equals 1 share of RAI Common Stock) earned based on 2014-2016 performance period, and subject to time-based vesting through March 3, 2017. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.