SEC Form 4 · accession 0000064040-17-000056
S&P Global Inc. · SPGI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nancy Luquette
Officer — SVP, Chief Risk & Audit Exec
Period of report
Aug 23, 2017
Accepted (ET)
Aug 24, 2017 · 9:44 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 StockF1 | Aug 23, 2017 | S | 860 | $151.502 | D | 106 | 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 UnitsF2 | $0.00 | holding | — | — | — | Dec 31, 2017 | Dec 31, 2017 | Common Stock | 429 | 429 | D |
| Restricted Stock UnitsF2 | $0.00 | holding | — | — | — | May 1, 2018 | May 1, 2018 | Common Stock | 960 | 960 | D |
| Restricted Stock UnitsF2 | $0.00 | holding | — | — | — | Dec 31, 2018 | Dec 31, 2018 | Common Stock | 604 | 604 | D |
| Restricted Stock UnitsF2,F3 | $0.00 | holding | — | — | — | Dec 31, 2017 | Dec 31, 2019 | Common Stock | 580 | 580 | D |
| Options (Right to Buy)F4 | $59.92 | holding | — | — | — | — | Sep 2, 2023 | Common Stock | 876 | 876 | D |
| Options (Right to Buy)F5 | $77.81 | holding | — | — | — | — | Mar 31, 2024 | Common Stock | 1,411 | 1,411 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $151.48 to $151.51, inclusive. The reporting person undertakes to provide to S&P Global Inc., any security holder of S&P Global Inc., or the staff of the Security and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forthin footnote (1) to this Form 4.
- F2Each restricted stock unit represents a contingent right to receive one share of SPGI common stock.
- F3The 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.
- F4The option became exercisable in annual installments. The first installment of 33% became exercisable on 9/3/2014, the next 33% installment became exercisable on 9/3/2015 and the remaining 34% installment became exercisable on 9/3/2016.
- F5The option became exercisable in annual installments. The first installment of 33% became exercisable on 4/1/2015, the next 33% installment became exercisable on 4/1/2016 and the remaining 34% installment will become exercisable on 4/1/2017.