SEC Form 4 · accession 0000064040-18-000076
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
Feb 27, 2018
Accepted (ET)
Mar 1, 2018 · 2:15 pm EST
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 | Feb 27, 2018 | A | 2,002 | $0.00 | A | 2,465 | D | |
| Common Stock | Feb 27, 2018 | F | 680 | $193.14 | D | 1,785 | 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)F3 | $59.92 | holding | — | — | — | — | Sep 2, 2023 | Common Stock | 876 | 876 | D |
| Options (Right to Buy)F4 | $77.81 | holding | — | — | — | — | Mar 31, 2024 | Common Stock | 1,411 | 1,411 | D |
| Restricted Stock UnitsF5 | $0.00 | holding | — | — | — | May 1, 2018 | May 1, 2018 | Common Stock | 960 | 960 | D |
| Restricted Stock UnitsF5 | $0.00 | holding | — | — | — | Dec 31, 2018 | Dec 31, 2018 | Common Stock | 604 | 604 | D |
| Restricted Stock UnitsF5,F6 | $0.00 | holding | — | — | — | Dec 31, 2017 | Dec 31, 2019 | Common Stock | 389 | 389 | D |
Explanation of responses
- F1Represents acquisition of beneficial ownership due to the achievement of performance goal under performance share unit award.
- F2Withholding of shares of Common Stock under the S&P Global Inc. 2002 Stock Incentive Plan withholding obligation in transaction exempt under and complying with Rule 16b-3.
- F3The 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.
- F4The 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.
- F5Each restricted stock unit represents a contingent right to receive one share of SPGI common stock.
- F6The restricted stock units will vest 49% on 12/31/2018 and 51% on 12/31/2019. Vested shares will be delivered to the reporting person no later than January 31 following the respective vesting date.