-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, OCiYxrCgDS4r3/KoTkBtJwicy3qkEXGa/LVUGO+DVvBGwh4q7tHXrbW9IgzBQrjn mfCt9l4gT7xszTpM45BqiQ== 0001036329-01-500023.txt : 20020412 0001036329-01-500023.hdr.sgml : 20020412 ACCESSION NUMBER: 0001036329-01-500023 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011130 FILED AS OF DATE: 20011210 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: RJ REYNOLDS TOBACCO HOLDINGS INC CENTRAL INDEX KEY: 0000083612 STANDARD INDUSTRIAL CLASSIFICATION: CIGARETTES [2111] IRS NUMBER: 560950247 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-06388 FILM NUMBER: 1810227 BUSINESS ADDRESS: STREET 1: 401 NORTH MAIN STREET CITY: WINSTON-SALEM STATE: NC ZIP: 27102 BUSINESS PHONE: 336-741-5500 MAIL ADDRESS: STREET 1: 401 NORTH MAIN STREET CITY: WINSTON SALEM STATE: NC ZIP: 27102 FORMER COMPANY: FORMER CONFORMED NAME: REYNOLDS R J INDUSTRIES INC DATE OF NAME CHANGE: 19860501 FORMER COMPANY: FORMER CONFORMED NAME: RJR NABISCO INC DATE OF NAME CHANGE: 19920703 COMPANY DATA: COMPANY CONFORMED NAME: ROSS FINANCIAL CORP CENTRAL INDEX KEY: 0001036329 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR IRS NUMBER: 980138450 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: PO BOX 31363 SMB STREET 2: MIRCO COMMERCE CENTRE CITY: CAYMAN ISLANDS BUSINESS PHONE: 3459497950 MAIL ADDRESS: STREET 1: PO BOX 31363 SMB STREET 2: MIRCO COMMERCE CENTRE CITY: CAYMAN ISLANDS 4 1 rjr4nov01.txt - ------- FORM 4 - ------- STATEMENT OF CHANGES OF BENEFICIAL OWNERSHIP - ------------------------------------------------------------------ 1. Name and Address of Reporting Person Ross Financial Corporation P.O. Box 31363-SMB Cayman Islands, BWI - ------------------------------------------------------------------ 2. Issuer Name and Ticker or Trading Symbol RJ Reynolds Tobacco Holding, Inc. RJR CUSIP# 76182K105 - ------------------------------------------------------------------ 3. IRS or Social Security Number of Reporting Person (Voluntary) - ------------------------------------------------------------------ 4. Statement for Month/Year NOVEMBER, 2001 - ------------------------------------------------------------------ 5. If Amendment, Date of Original (Month/Day/Year)09/09/99 - ------------------------------------------------------------------ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) 10% Owner - ------------------------------------------------------------------ 7. Individual or Joint/Group Filing Individual - ------------------------------------------------------------------ TABLE I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned - ----------------------------------------------------------------- 1. Title of Security COMMON STOCK, $0.01 PAR VALUE PER SHARE - ------------------------------------------------------------------ 2-4 Transaction Date Transaction Securities Acquired(A) Price (Month/Day/Year) Code Amount Disposed(D) (per share) 11/1/01 S 25,000 D 57.2341 11/7/01 S 45,000 D 58.6199 11/12/01 S 32,900 D 57.6157 11/13/01 S 40,000 D 57.5546 11/14/01 S 178,000 D 57.7505 11/15/01 S 80,000 D 57.5977 11/16/01 S 56,400 D 57.7324 11/20/01 S 120,000 D 57.3791 11/21/01 S 10,200 D 57.0177 11/23/01 S 40,800 D 56.4481 11/28/01 S 100,000 D 55.3714 11/29/01 S 100,000 D 56.2917 11/30/01 S 25,000 D 57.2329 - ----------------------------------------------------------------- Page 2 - ------------------------------------------------------------------ 5. Amount of Securities Beneficially Owned at End of Month. 13,266,603 - ------------------------------------------------------------------ 6. Ownership Form: Direct (D) or Indirect (I) Direct Ross Financial Corporation (D) - ----------------------------------------------------------------- 7. Nature of Indirect Beneficial Ownership - ----------------------------------------------------------------- TABLE II - DERIVATIVE SECURITIES BENEFICIALLY OWNED NONE. - ----------------------------------------------------------------- Explanation of Responses: Ross Financial Corporation By: Kenneth B. Dart, Its President Dated: 10 December, 2001 - ------------------------------------------------------------------ -----END PRIVACY-ENHANCED MESSAGE-----