SEC Form 4 · accession 0001530950-18-000232
Post Holdings, Inc. · POST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Diedre J Gray
Officer — EVP, GC & CAO, SECY
Period of report
Nov 13, 2018
Accepted (ET)
Nov 15, 2018 · 5:07 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001530950
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 13, 2018 | A | 5,938 | $0.00 | A | 13,606 | D | |
| Common Stock | Nov 13, 2018 | M | 965 | $0.00 | A | 14,571 | D | |
| Common StockF2 | Nov 13, 2018 | F | 292 | $92.08 | D | 14,279 | D | |
| Common StockF3 | Nov 14, 2018 | F | 656 | $91.65 | D | 13,623 | D | |
| Common Stock | holding | — | — | — | 8,832 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Options (right to buy)F4 | $92.08 | Nov 13, 2018 | A | 16,966 | A | — | Nov 13, 2028 | Common Stock | 16,966 | 16,966 | D |
| Restricted Stock UnitsF5,F6 | — | Nov 13, 2018 | M | 965 | D | — | Nov 13, 2027 | Common Stock | 965 | 1,931 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Post Holdings, Inc. common stock. The restricted stock units were granted under the Post Holding, Inc. 2016 Long-Term Incentive Plan in a transaction exempt under Rule 16b-3 and vest in equal annual installments over three years.
- F2Surrender of shares in payment of tax withholding due as a result of the vesting of 965 RSUs in accordance with Rule 16b-3.
- F3Surrender of shares in payment of tax withholding due as a result of the vesting of 2,167 RSUs in accordance with Rule 16b-3.
- F4The option to purchase 16,966 shares of common stock was awarded under the Post Holdings, Inc. 2016 Long-Term Incentive Plan in a transaction exempt under Rule 16b-3 and vest in equal annual installments over three years.
- F5Each restricted stock unit represents a contingent right to receive one share of Post Holdings, Inc. common stock or a cash payment equal to the fair market value of one share of common stock at the Company's discretion upon vesting. The restricted stock units were awarded on November 13, 2017 under the Post Holdings, Inc. 2016 Long-Term Incentive Plan in a transaction exempt under Rule 16b-3 and vest in equal annual installments over three years.
- F6One-third of the restricted stock units vest on each of the first, second, and third anniversaries of the date of grant without any action on the part of the participant.