FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
SPIRE INC [ SR ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 11/16/2020 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 11/16/2020 | A | 1,711(1) | A | $63.52 | 44,164 | D | |||
Common Stock | 11/16/2020 | F | 733(2) | D | $63.52 | 43,431 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 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: 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 | (3) | 11/16/2020 | A | 264.4(3) | (3) | (3) | Common Stock | 264.4 | $63.52 | 1,831.4 | D | ||||
Phantom Stock | (4) | 11/16/2020 | A | 264.4(4) | (4) | (4) | Common Stock | 264.4 | $63.52 | 2,095.8 | D | ||||
Phantom Stock | (5) | 11/16/2020 | A | 264.4(5) | (5) | (5) | Common Stock | 264.4 | $63.52 | 2,360.2 | D | ||||
Phantom Stock | (6) | 11/16/2020 | A | 264.4(6) | (6) | (6) | Common Stock | 264.4 | $63.52 | 2,624.6 | D | ||||
Phantom Stock | (7) | 11/16/2020 | A | 264.4(7) | (7) | (7) | Common Stock | 264.4 | $63.52 | 2,889 | D |
Explanation of Responses: |
1. Represents performance contingent restricted units that vested and settled in stock based on performance metrics not tied to the market price of the Company's stock. |
2. Represents the number of shares withheld for the payment of taxes incident to the vesting of 1,940 shares of time-vested restricted stock. |
3. Represents phantom stock vesting to the reporting person pursuant to his election to defer into his deferred income plan account 264.40 shares of vested performance contingent stock. Each share of phantom stock is the economic equivalent of one share of Spire Inc. common stock. Shares of phantom stock are payable in cash to the reporting person in January 2026 and can be transferred to other investments within the reporting person's deferred income plan account at any time at least six months after this vesting. |
4. Represents phantom stock vesting to the reporting person pursuant to his election to defer into his deferred income plan account 264.40 shares of vested performance contingent stock. Each share of phantom stock is the economic equivalent of one share of Spire Inc. common stock. Shares of phantom stock are payable in cash to the reporting person in January 2027 and can be transferred to other investments within the reporting person's deferred income plan account at any time at least six months after this vesting. |
5. Represents phantom stock vesting to the reporting person pursuant to his election to defer into his deferred income plan account 264.40 shares of vested performance contingent stock. Each share of phantom stock is the economic equivalent of one share of Spire Inc. common stock. Shares of phantom stock are payable in cash to the reporting person in January 2028 and can be transferred to other investments within the reporting person's deferred income plan account at any time at least six months after this vesting. |
6. Represents phantom stock vesting to the reporting person pursuant to his election to defer into his deferred income plan account 264.40 shares of vested performance contingent stock. Each share of phantom stock is the economic equivalent of one share of Spire Inc. common stock. Shares of phantom stock are payable in cash to the reporting person in January 2029 and can be transferred to other investments within the reporting person's deferred income plan account at any time at least six months after this vesting. |
7. Represents phantom stock vesting to the reporting person pursuant to his election to defer into his deferred income plan account 264.40 shares of vested performance contingent stock. Each share of phantom stock is the economic equivalent of one share of Spire Inc. common stock. Shares of phantom stock are payable in cash to the reporting person in January 2030 and can be transferred to other investments within the reporting person's deferred income plan account at any time at least six months after this vesting. |
Remarks: |
/s/ Ellen Theroff, Attorney-in-Fact for Steven L. Lindsey | 11/18/2020 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |