SEC Form 4 · accession 0000064040-17-000054
S&P Global Inc. · SPGI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas L. Peterson
Officer — CEO & President · Director
Period of report
Aug 17, 2017
Accepted (ET)
Aug 18, 2017 · 11:54 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000064040
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 17, 2017 | M | 31,207 | $51.55 | A | 166,902 | D | |
| Common StockF1 | Aug 17, 2017 | F | 10,727 | $149.97 | D | 156,175 | D | |
| Common StockF2 | Aug 17, 2017 | F | 11,432 | $149.97 | D | 144,743 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options (Right to Buy) | $51.55 | Aug 17, 2017 | M | 31,207 | D | Apr 1, 2014 | Mar 31, 2023 | Common Stock | 31,207 | 0 | D |
| Options (Right to Buy) | $77.81 | holding | — | — | — | Apr 1, 2015 | Mar 31, 2024 | Common Stock | 51,304 | 51,304 | D |
| Restricted Stock UnitsF3,F4 | $0.00 | holding | — | — | — | — | — | Common Stock | 13,440 | 13,440 | D |
| Restricted Stock UnitsF3 | $0.00 | holding | — | — | — | Dec 31, 2018 | Dec 31, 2018 | Common Stock | 14,501 | 14,501 | D |
| Restricted Stock UnitsF3,F5 | $0.00 | holding | — | — | — | Dec 31, 2017 | Dec 31, 2019 | Common Stock | 13,916 | 13,916 | D |
Explanation of responses
- F1Shares swapped to pay for the option exercised.
- F2The number of shares withheld to cover applicable taxes in connection with the option exercised
- F3Each restricted stock unit represents a contingent right to receive one share of SPGI common stock.
- F4The restricted stock units will vest on December 31, 2017.
- F5The restricted stock units will vest 33% on 12/31/2017, 33% on 12/31/2018 and 34% on 12/31/2019. Vested shares will be delivered to the reporting person no later than January 31 following the respective vesting date.