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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 | (1) | 02/08/2018 | I | 1,078.04 | (1) | (1) | Common Stock | 1,078.04 | $ 63.6 | 1,078.04 | D | ||||
Phantom Stock | (2) | 04/03/2018 | A | 8.37 | (2) | (2) | Common Stock | 8.37 | $ 72.5 | 1,086.41 | D | ||||
Phantom Stock | (3) | 06/29/2018 | A | 102.26 | (3) | (3) | Common Stock | 102.26 | $ 70.65 | 1,188.67 | D | ||||
Phantom Stock | (2) | 07/03/2018 | A | 8.45 | (2) | (2) | Common Stock | 8.45 | $ 72.4 | 1,197.12 | D | ||||
Phantom Stock | (3) | 09/28/2018 | A | 98.23 | (3) | (3) | Common Stock | 98.23 | $ 73.55 | 1,295.35 | D | ||||
Phantom Stock | (2) | 10/02/2018 | A | 9.25 | (2) | (2) | Common Stock | 9.25 | $ 72.88 | 1,304.6 | D | ||||
Phantom Stock | (3) | 12/14/2018 | A | 91.09 | (3) | (3) | Common Stock | 91.09 | $ 79.32 | 1,395.69 | D | ||||
Phantom Stock | (2) | 01/03/2019 | A | 10.62 | (2) | (2) | Common Stock | 10.62 | $ 72.71 | 1,406.31 | D | ||||
Phantom Stock | (4) | 02/01/2019 | A | 19.06 | (4) | (4) | Common Stock | 19.06 | $ 78.69 | 19.06 | D | ||||
Phantom Stock | (5) | 02/01/2019 | A | 19.06 | (5) | (5) | Common Stock | 19.06 | $ 78.69 | 19.06 | D | ||||
Phantom Stock | (6) | 02/01/2019 | A | 19.06 | (6) | (6) | Common Stock | 19.06 | $ 78.69 | 19.06 | D | ||||
Phantom Stock | (7) | 02/01/2019 | A | 19.06 | (7) | (7) | Common Stock | 19.06 | $ 78.69 | 19.06 | D | ||||
Phantom Stock | (8) | 02/01/2019 | A | 19.06 | (8) | (8) | Common Stock | 19.06 | $ 78.69 | 19.06 | D | ||||
Phantom Stock | (4) | 03/29/2019 | A | 27.85 | (4) | (4) | Common Stock | 27.85 | $ 82.29 | 46.91 | D | ||||
Phantom Stock | (5) | 03/29/2019 | A | 27.85 | (5) | (5) | Common Stock | 27.85 | $ 82.29 | 46.91 | D | ||||
Phantom Stock | (6) | 03/29/2019 | A | 27.85 | (6) | (6) | Common Stock | 27.85 | $ 82.29 | 46.91 | D | ||||
Phantom Stock | (7) | 03/29/2019 | A | 27.85 | (7) | (7) | Common Stock | 27.85 | $ 82.29 | 46.91 | D | ||||
Phantom Stock | (8) | 03/29/2019 | A | 27.85 | (8) | (8) | Common Stock | 27.85 | $ 82.29 | 46.91 | D | ||||
Phantom Stock | (9) | 04/02/2019 | A | 0.14 | (9) | (9) | Common Stock | 0.14 | $ 81.04 | 47.05 | D | ||||
Phantom Stock | (10) | 04/02/2019 | A | 0.14 | (10) | (10) | Common Stock | 0.14 | $ 81.04 | 47.05 | D | ||||
Phantom Stock | (11) | 04/02/2019 | A | 0.14 | (11) | (11) | Common Stock | 0.14 | $ 81.04 | 47.05 | D | ||||
Phantom Stock | (12) | 04/02/2019 | A | 0.14 | (12) | (12) | Common Stock | 0.14 | $ 81.04 | 47.05 | D | ||||
Phantom Stock | (13) | 04/02/2019 | A | 0.14 | (13) | (13) | Common Stock | 0.14 | $ 81.04 | 47.05 | D | ||||
Phantom Stock | (2) | 04/02/2019 | A | 10.27 | (2) | (2) | Common Stock | 10.27 | $ 81.04 | 1,416.58 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Fogarty Maria V. 700 MARKET STREET ST. LOUIS, MO 63101 |
/s/ Ellen Theroff, Attorney-in-Fact for Fogarty Maria V. | 04/17/2019 | |
**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) | Represents phantom stock acquired by the reporting person pursuant to a transfer from another investment within her deferred income plan account. 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 at retirement and can be transferred to other investments within the reporting person's deferred income plan account at any time. |
(10) | Represents phantom stock automatically credited to the reporting person's deferred income plan account as a result of dividend equivalents paid on the phantom stock held by her within her deferred income plan account. 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 2022 and can be transferred to other investments within the reporting person's deferred income plan account at any time. |
(11) | Represents phantom stock automatically credited to the reporting person's deferred income plan account as a result of dividend equivalents paid on the phantom stock held by her within her deferred income plan account. 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 2023 and can be transferred to other investments within the reporting person's deferred income plan account at any time. |
(12) | Represents phantom stock automatically credited to the reporting person's deferred income plan account as a result of dividend equivalents paid on the phantom stock held by her within her deferred income plan account. 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 2024 and can be transferred to other investments within the reporting person's deferred income plan account at any time. |
(13) | Represents phantom stock automatically credited to the reporting person's deferred income plan account as a result of dividend equivalents paid on the phantom stock held by her within her deferred income plan account. 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 2025 and can be transferred to other investments within the reporting person's deferred income plan account at any time. |
(2) | Represents phantom stock automatically credited to the reporting person's deferred income plan account as a result of dividend equivalents paid on the phantom stock held by her within her deferred income plan account. 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 at retirement and can be transferred to other investments within the reporting person's deferred income plan account at any time. |
(3) | Represents phantom stock acquired by the reporting person with deferred director fees paid by Spire Inc. pursuant to Spire Inc.'s deferred income plan. 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 at retirement and can be transferred to other investments within the reporting person's deferred income plan account at any time. |
(4) | Represents phantom stock acquired by the reporting person with deferred director fees paid by Spire Inc. pursuant to Spire Inc.'s deferred income plan. 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 2021 and can be transferred to other investments within the reporting person's deferred income plan account at any time. |
(5) | Represents phantom stock acquired by the reporting person with deferred director fees paid by Spire Inc. pursuant to Spire Inc.'s deferred income plan. 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 2022 and can be transferred to other investments within the reporting person's deferred income plan account at any time. |
(6) | Represents phantom stock acquired by the reporting person with deferred director fees paid by Spire Inc. pursuant to Spire Inc.'s deferred income plan. 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 2023 and can be transferred to other investments within the reporting person's deferred income plan account at any time. |
(7) | Represents phantom stock acquired by the reporting person with deferred director fees paid by Spire Inc. pursuant to Spire Inc.'s deferred income plan. 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 2024 and can be transferred to other investments within the reporting person's deferred income plan account at any time. |
(8) | Represents phantom stock acquired by the reporting person with deferred director fees paid by Spire Inc. pursuant to Spire Inc.'s deferred income plan. 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 2025 and can be transferred to other investments within the reporting person's deferred income plan account at any time. |
(9) | Represents phantom stock automatically credited to the reporting person's deferred income plan account as a result of dividend equivalents paid on the phantom stock held by her within her deferred income plan account. 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 2021 and can be transferred to other investments within the reporting person's deferred income plan account at any time. |