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Schwartz Stephen S

Filed: 3 Feb 21, 12:26pm
SEC Form 4
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*
SCHWARTZ STEPHEN S

(Last) (First) (Middle)
700 MARKET STREET

(Street)
ST. LOUIS MO 63101

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
SPIRE INC [ SR ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
02/01/2021
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 (1) 02/01/2021 A 352(1) (1) (1) Common Stock 352 $62.35 1,672 D
Phantom Stock (2) 02/01/2021 A 352(2) (2) (2) Common Stock 352 $62.35 2,024 D
Phantom Stock (3) 02/01/2021 A 352(3) (3) (3) Common Stock 352 $62.35 2,376 D
Phantom Stock (4) 02/01/2021 A 352(4) (4) (4) Common Stock 352 $62.35 2,728 D
Phantom Stock (5) 02/01/2021 A 352(5) (5) (5) Common Stock 352 $62.35 3,080 D
Explanation of Responses:
1. Represents phantom stock awarded to the reporting person pursuant to his election to defer into his deferred income plan account 352 shares of time-vested restricted stock awarded to him. The phantom stock vests on August 1, 2021. 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.
2. Represents phantom stock awarded to the reporting person pursuant to his election to defer into his deferred income plan account 352 shares of time-vested restricted stock awarded to him. The phantom stock vests on August 1, 2021. 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.
3. Represents phantom stock awarded to the reporting person pursuant to his election to defer into his deferred income plan account 352 shares of time-vested restricted stock awarded to him. The phantom stock vests on August 1, 2021. 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.
4. Represents phantom stock awarded to the reporting person pursuant to his election to defer into his deferred income plan account 352 shares of time-vested restricted stock awarded to him. The phantom stock vests on August 1, 2021. 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.
5. Represents phantom stock awarded to the reporting person pursuant to his election to defer into his deferred income plan account 352 shares of time-vested restricted stock awarded to him. The phantom stock vests on August 1, 2021. 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.
Remarks:
/s/ Ellen Theroff, Attorney-in-Fact for Stephen S. Schwartz 02/03/2021
** 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.