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Philip Morris International Inc. – ‘10-12B/A’ on 3/5/08

On:  Wednesday, 3/5/08, at 8:30am ET   ·   Accession #:  1193125-8-47095   ·   File #:  1-33708

Previous ‘10-12B’:  ‘10-12B/A’ on 2/7/08   ·   Latest ‘10-12B’:  This Filing   ·   4 References:   

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  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

 3/05/08  Philip Morris International Inc.  10-12B/A               6:2.5M                                   RR Donnelley/FA

Amendment to Registration of Securities (General Form)   —   Form 10
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 10-12B/A    Amendment No. 3 to Form 10                          HTML     55K 
 3: EX-10.20    Philip Morris International Inc. 2008 Stock         HTML     35K 
                          Compensation Plan                                      
 2: EX-10.4     Intellectual Property Agreement                     HTML     98K 
 4: EX-99.1     Information Statement of Philip Morris              HTML   1.96M 
                          International Inc., Dated March 7, 2008                
 5: EX-99.2     Certain Litigation Matters and Recent Developments  HTML     25K 
 6: EX-99.3     Trial Schedule                                      HTML      5K

10-12B/A   —   Amendment No. 3 to Form 10

This is an HTML Document rendered as filed.  [ Alternative Formats ]

  Amendment No. 3 to Form 10  

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

AMENDMENT NO. 3

TO

FORM 10

 

 

GENERAL FORM FOR REGISTRATION OF SECURITIES PURSUANT

TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934

Philip Morris International Inc.

 

(Exact name of registrant as specified in its charter)

 

Virginia

  

13-3435103

(State or other jurisdiction of

incorporation or organization)

  

(I.R.S. Employer

Identification No.)

120 Park Avenue

New York, New York

  

 

10017

(Address of principal executive offices)   (Zip Code)

(917) 663-2000

 

(Registrant’s telephone number, including area code)

 

Securities to be registered pursuant to Section 12(b) of the Act:

 

Title of each class

to be so registered

  

Name of each exchange on which

each class is to be registered

Common Stock, without par value

 

New York Stock Exchange

Securities to be registered pursuant to Section 12(g) of the Act:

None

 

(Title of class)

 

INFORMATION REQUIRED IN REGISTRATION STATEMENT

CROSS-REFERENCE SHEET BETWEEN INFORMATION STATEMENT

AND ITEMS OF FORM 10

Our information statement is filed as Exhibit 99.1 to this Form 10. For your convenience, we have provided below a cross-reference sheet identifying where the items required by Form 10 can be found in the information statement.

 

Item No.

   

Caption

   

Location in Information Statement

Item 1.

    Business    See “Summary,” “Our Goals, Strengths and Strategies,” “Risk Factors,” “The Distribution,” “Management’s Discussion and Analysis of Financial Condition and Results of Operations,” “Business,” “Relationship with Altria,” “Certain Relationships and Related Transactions,” “Where You Can Find More Information” and “Index to Financial Statements and Schedule” and the statements referenced therein

Item 1A.

    Risk Factors    See “Risk Factors”

Item 2.

    Financial Information    See “Summary,” “Capitalization,” “Summary Historical and Pro Forma Financial Information,” “Selected Historical Consolidated Financial and Operating Data,” “Unaudited Pro Forma Condensed Consolidated Financial Data,” “Management’s Discussion and Analysis of Financial Condition and Results of Operations” and “Index to Financial Statements and Schedule” and the statements referenced therein

Item 3.

    Properties    See “Business—Efficient Manufacturing Footprint”

Item 4.

    Security Ownership of Certain Beneficial Owners and Management    See “Management—Security Ownership of Certain Beneficial Owners and Management”

Item 5.

    Directors and Executive Officers    See “Management”

Item 6.

    Executive Compensation    See “Management” and “Certain Relationships and Related Transactions”

Item 7.

    Certain Relationships and Related Transactions, and Directors Independence    See “Management’s Discussion and Analysis of Financial Condition and Results of Operations,” “Business,” “Management,” “Relationship with Altria” and “Certain Relationships and Related Transactions”

Item 8.

    Legal Proceedings    See “Business—Litigation,” “Management’s Discussion and Analysis of Financial Condition and Results of Operations—Contingencies” and Exhibits 99.2 and 99.3

Item 9.

    Market Price of and Dividends on the Registrant’s Common Equity and Related Stockholder Matters    See “Summary,” “Risk Factors,” “The Distribution,” “Capitalization,” “Dividend and Share Repurchase Policy,” “Management’s Discussion and Analysis of Financial Condition and Results of Operations—Distribution of Our Stock,” “Relationship with Altria” and “Management”

Item 10.

    Recent Sales of Unregistered Securities    Not Applicable

Item No.

   

Caption

   

Location in Information Statement

Item 11.

    Description of Registrant’s Securities to be Registered    See “Summary,” “Risk Factors,” “The Distribution,” “Dividend and Share Repurchase Policy,” “Description of Capital Stock” and “Certain Provisions of Virginia Law, our Articles of Incorporation and our Bylaws”

Item 12.

    Indemnification of Directors and Officers    See “Certain Provisions of Virginia Law, our Articles of Incorporation and our Bylaws”

Item 13.

    Financial Statements and Supplementary Data    See “Summary Historical and Pro Forma Financial Information,” “Selected Historical Consolidated Financial and Operating Data,” “Unaudited Pro Forma Condensed Consolidated Financial Data,” “Index to Financial Statements and Schedule” and the statements referenced therein

Item 14.

    Changes in and Disagreements with Accountants on Accounting and Financial Disclosure    None

 

 

Item 15. Financial Statements and Exhibits

 

(a) Financial Statements and Schedules

Report of PricewaterhouseCoopers LLP, Independent Registered Public Accounting Firm

Consolidated Balance Sheets at December 31, 2006 and 2007

Consolidated Statements of Earnings for the Years Ended December 31, 2005, 2006 and 2007

Consolidated Statements of Stockholder’s Equity for the Years Ended December 31, 2005, 2006 and 2007

Consolidated Statements of Cash Flows for the Years Ended December 31, 2005, 2006 and 2007

Notes to Consolidated Financial Statements

Report of PricewaterhouseCoopers LLP, Independent Registered Public Accounting Firm on Financial Statement Schedule

Financial Statement Schedule—Valuation and Qualifying Accounts

 

(b) Exhibits

The following exhibits are filed herewith unless otherwise indicated:

 

Exhibit No.

   

Exhibit Description

  2.1    Distribution Agreement between Altria Group, Inc. and Philip Morris International Inc. dated January 30, 2008*
  3.1    Amended and Restated Articles of Incorporation of Philip Morris International Inc.*
  3.2    Form of Amended and Restated By-laws of Philip Morris International Inc.*
  4.1    Specimen Stock Certificate of Philip Morris International Inc.*
10.1    Form of Transition Services Agreement between Altria Corporate Services, Inc. and Philip Morris International Inc.*
10.2    Form of Tax Sharing Agreement between Altria Group, Inc. and Philip Morris International Inc.*
10.3    Form of Employee Matters Agreement between Altria Group, Inc. and Philip Morris International Inc.*
10.4    Intellectual Property Agreement between Philip Morris International Inc. and Philip Morris USA Inc.
10.5   

Credit Agreement relating to a US$3,000,000,000 5-Year Revolving Credit Facility (including a US$900,000,000 swingline option) and a US$1,000,000,000 3-Year Revolving Credit Facility (including a US$300,000,000 swingline option) and a EUR 1,500,000,000 364-Day Term Loan Facility dated as of December 4, 2007 among Philip Morris International Inc. and the Initial Lenders named therein and J.P. Morgan Europe Limited as Facility Agent and Swingline Agent and J.P. Morgan PLC, Citigroup Global Markets Limited, Credit Suisse, Cayman Islands Branch, Deutsche Bank Securities Inc., Goldman Sachs Credit Partners L.P. and Lehman Brothers Inc. as Mandated Lead Arrangers and Bookrunners*

Exhibit No.

   

Exhibit Description

10.6    Credit Agreement relating to EUR 2,000,000,000 5-Year Revolving Credit Facility (including a EUR 1,000,000,000 swingline option) and a EUR 2,500,000,000 3-Year Term Loan Facility dated as of 12 May 2005 among Philip Morris International Inc. and the Initial Lenders named therein and Citibank International plc as Facility Agent and Swingline Agent, Citigroup Global Markets Limited, Credit Suisse First Boston, Cayman Islands Branch, Deutsche Bank Securities Inc. and J.P. Morgan plc as Mandated Lead Arrangers and Bookrunners and ABN AMRO Bank N.V., HSBC Bank plc and Société Genéralé as Mandated Lead Arrangers*
10.7    Anti-Contraband and Anti-Counterfeit Agreement and General Release dated July 9, 2004 and Appendices (Portions of this exhibit have been omitted pursuant to a request for confidential treatment filed with the Securities and Exchange Commission)*
10.8    Philip Morris International Inc. Automobile Policy*
10.9    Philip Morris International Inc. Financial Counseling Program*
10.10    Philip Morris International Inc. 2008 Performance Incentive Plan*
10.11    Form of Philip Morris International Inc. 2008 Performance Incentive Plan Deferred Stock Agreement (Pre-2008 Grants)*
10.12    Form of Philip Morris International Inc. 2008 Performance Incentive Plan Deferred Stock Agreement (2008 Grants)*
10.13    Form of Philip Morris International Inc. 2008 Performance Incentive Plan Non-Qualified Stock Option Award Agreement*
10.14    Pension Fund of Philip Morris in Switzerland (IC)*
10.15    Summary of Supplemental Pension Plan of Philip Morris in Switzerland*
10.16    Summary of Supplemental Management Employees’ Retirement Plan*
10.17    Form of Philip Morris International Benefit Equalization Plan*
10.18    Form of Restated Employee Grantor Trust Enrollment Agreement (Executive Trust Arrangement)*
10.19    Form of Restated Employee Grantor Trust Enrollment Agreement (Secular Trust Arrangement)*
10.20    Philip Morris International Inc. 2008 Stock Compensation Plan for Non-Employee Directors
10.21    Philip Morris International Inc. 2008 Deferred Fee Plan for Non-Employee Directors*
10.22    Employment Agreement with André Calantzopoulos*
10.23    Employment Agreement with Jean-Claude Kunz*
10.24    Employment Agreement with Hermann Waldemer*
10.25    Agreement with Louis C. Camilleri*
21.1    Subsidiaries of Philip Morris International Inc.*
99.1    Information Statement of Philip Morris International Inc., dated March 7, 2008
99.2    Certain Litigation Matters and Recent Developments
99.3    Trial Schedule

 

* Previously filed.

SIGNATURES

Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized.

 

PHILIP MORRIS INTERNATIONAL INC.

By:

 

  

/S/    ANDRÉ CALANTZOPOULOS

 

Name: André Calantzopoulos

 

Title:   President and Chief Executive Officer

Dated: March 5, 2008

INDEX TO EXHIBITS

 

Exhibit No.

   

Exhibit Description

  2.1    Distribution Agreement between Altria Group, Inc. and Philip Morris International Inc. dated January 30, 2008*
  3.1    Amended and Restated Articles of Incorporation of Philip Morris International Inc.*
  3.2    Form of Amended and Restated By-laws of Philip Morris International Inc.*
  4.1    Specimen Stock Certificate of Philip Morris International Inc.*
10.1    Form of Transition Services Agreement between Altria Corporate Services, Inc. and Philip Morris International Inc.*
10.2    Form of Tax Sharing Agreement between Altria Group, Inc. and Philip Morris International Inc.*
10.3    Form of Employee Matters Agreement between Altria Group, Inc. and Philip Morris International Inc.*
10.4    Intellectual Property Agreement between Philip Morris International Inc. and Philip Morris USA Inc.
10.5   

Credit Agreement relating to a US$3,000,000,000 5-Year Revolving Credit Facility (including a US$900,000,000 swingline option) and a US$1,000,000,000 3-Year Revolving Credit Facility (including a US$300,000,000 swingline option) and a EUR 1,500,000,000 364-Day Term Loan Facility dated as of December 4, 2007 among Philip Morris International Inc. and the Initial Lenders named therein and J.P. Morgan Europe Limited as Facility Agent and Swingline Agent and J.P. Morgan PLC, Citigroup Global Markets Limited, Credit Suisse, Cayman Islands Branch, Deutsche Bank Securities Inc., Goldman Sachs Credit Partners L.P. and Lehman Brothers Inc. as Mandated Lead Arrangers and Bookrunners*

10.6    Credit Agreement relating to EUR 2,000,000,000 5-Year Revolving Credit Facility (including a EUR 1,000,000,000 swingline option) and a EUR 2,500,000,000 3-Year Term Loan Facility dated as of 12 May 2005 among Philip Morris International Inc. and the Initial Lenders named therein and Citibank International plc as Facility Agent and Swingline Agent, Citigroup Global Markets Limited, Credit Suisse First Boston, Cayman Islands Branch, Deutsche Bank Securities Inc. and J.P. Morgan plc as Mandated Lead Arrangers and Bookrunners and ABN AMRO Bank N.V., HSBC Bank plc and Société Genéralé as Mandated Lead Arrangers*
10.7    Anti-Contraband and Anti-Counterfeit Agreement and General Release dated July 9, 2004 and Appendices (Portions of this exhibit have been omitted pursuant to a request for confidential treatment filed with the Securities and Exchange Commission)*
10.8    Philip Morris International Inc. Automobile Policy*
10.9    Philip Morris International Inc. Financial Counseling Program*
10.10    Philip Morris International Inc. 2008 Performance Incentive Plan*
10.11    Form of Philip Morris International Inc. 2008 Performance Incentive Plan Deferred Stock Agreement (Pre-2008 Grants)*
10.12    Form of Philip Morris International Inc. 2008 Performance Incentive Plan Deferred Stock Agreement (2008 Grants)*
10.13    Form of Philip Morris International Inc. 2008 Performance Incentive Plan Non-Qualified Stock Option Award Agreement*
10.14    Pension Fund of Philip Morris in Switzerland (IC)*
10.15    Summary of Supplemental Pension Plan of Philip Morris in Switzerland*
10.16    Summary of Supplemental Management Employees’ Retirement Plan*

Exhibit No.

   

Exhibit Description

10.17    Form of Philip Morris International Benefit Equalization Plan*
10.18    Form of Restated Employee Grantor Trust Enrollment Agreement (Executive Trust Arrangement)*
10.19    Form of Restated Employee Grantor Trust Enrollment Agreement (Secular Trust Arrangement)*
10.20    Philip Morris International Inc. 2008 Stock Compensation Plan for Non-Employee Directors
10.21    Philip Morris International Inc. 2008 Deferred Fee Plan for Non-Employee Directors*
10.22    Employment Agreement with André Calantzopoulos*
10.23    Employment Agreement with Jean-Claude Kunz*
10.24    Employment Agreement with Hermann Waldemer*
10.25    Agreement with Louis C. Camilleri*
21.1    Subsidiaries of Philip Morris International Inc.*
99.1    Information Statement of Philip Morris International Inc., dated March 7, 2008
99.2    Certain Litigation Matters and Recent Developments
99.3    Trial Schedule

 

* Previously filed.

 

vii

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘10-12B/A’ Filing    Date    Other Filings
3/7/083
Filed on:3/5/08
1/30/08
12/31/07
12/4/07
12/31/06
12/31/05
7/9/04
 List all Filings 

4 Subsequent Filings that Reference this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 2/08/24  Philip Morris International Inc.  10-K       12/31/23  160:26M
 2/10/23  Philip Morris International Inc.  10-K       12/31/22  150:25M
 2/11/22  Philip Morris International Inc.  10-K       12/31/21  136:22M
 2/09/21  Philip Morris International Inc.  10-K       12/31/20  143:21M
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