SEC Form 4 · accession 0000064040-17-000062
S&P Global Inc. · SPGI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven J Kemps
Officer — EVP, General Counsel
Period of report
Sep 1, 2017
Accepted (ET)
Sep 5, 2017 · 12:44 pm 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 | Sep 1, 2017 | M | 1,065 | $153.72 | A | 1,065 | D | |
| Common Stock | Sep 1, 2017 | F | 488 | $153.72 | D | 577 | 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,F2 | $0.00 | Sep 1, 2017 | M | 1,065 | D | — | — | Common Stock | 1,065 | 2,162 | D |
| Restricted Stock UnitsF1 | $0.00 | holding | — | — | — | Dec 31, 2018 | Dec 31, 2018 | Common Stock | 2,057 | 2,057 | D |
| Restricted Stock UnitsF1,F3 | $0.00 | holding | — | — | — | Dec 31, 2017 | Dec 31, 2019 | Common Stock | 2,203 | 2,203 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of SPGI common stock.
- F2The restricted stock unit will vest 33% on 9/1/2017, 33% on 9/1/2018 and 34% on 9/1/2019.
- 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.