SEC Form 4 · accession 0001127602-18-025306
GARTNER INC · IT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alwyn Dawkins
Officer — EVP, Events
Period of report
Aug 10, 2018
Accepted (ET)
Aug 14, 2018 · 4:50 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000749251
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 10, 2018 | M | 374 | $0.00 | A | 30,254 | D | |
| Common StockF2 | Aug 10, 2018 | F | 174 | $140.32 | D | 30,080 | D | |
| Common StockF3 | Aug 13, 2018 | S | 566 | $139.69 | D | 29,514 | D | |
| Common Stock | Aug 13, 2018 | M | 18,905 | $49.37 | A | 48,419 | D | |
| Common StockF5 | Aug 13, 2018 | D | 6,709 | $139.13 | D | 41,710 | D | |
| Common StockF6 | Aug 13, 2018 | F | 5,651 | $139.13 | D | 36,059 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1 | $0.00 | Aug 10, 2018 | M | 374 | D | — | — | Common Stock | 374 | 1,120 | D |
| Stock Appreciation RightsF4 | $49.37 | Aug 13, 2018 | M | 18,905 | D | Feb 12, 2014 | Feb 12, 2020 | Common Stock | 18,905 | 0 | D |
Explanation of responses
- F1These RSUs vest in four substantially equal installments on August 10, 2018, 2019, 2020 and 2021.
- F2Represents shares withheld from released RSUs for the payment of applicable income and payroll withholding taxes due on release.
- F3This transaction was executed in multiple trades at prices ranging from $139.67 to $139.6958. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F4These SARs became exercisable in four substantially equal annual installments commencing on 2/12/2014 and are fully exerciseable.
- F5Represents the simultaneous sale back to the issuer of this number of shares having an aggregate value, based on the market price on the date of exercise, substantially equal to the aggregate exercise price of the SARs.
- F6Represents shares withheld from the settlement of the SARs for the payment of applicable income and payroll tax withholding due upon exercise.