SEC Form 4 · accession 0000064040-18-000090
S&P Global Inc. · SPGI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John L Berisford
Officer — President, S&P Ratings
Period of report
Mar 8, 2018
Accepted (ET)
Mar 9, 2018 · 4:54 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 StockF1 | Mar 8, 2018 | S | 12,760 | $192.1973 | D | 25,455 | D | |
| Common Stock | Mar 8, 2018 | M | 3,707 | $77.81 | A | 29,162 | D | |
| Common StockF1 | Mar 8, 2018 | S | 1,853 | $192.1973 | D | 27,309 | D | |
| Common StockF2 | Mar 8, 2018 | S | 1,289 | $192.1134 | D | 26,020 | 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) | $77.81 | Mar 8, 2018 | M | 3,707 | D | Apr 1, 2015 | Mar 31, 2024 | Common Stock | 3,707 | 0 | D |
| Restricted Stock UnitsF3 | $0.00 | holding | — | — | — | Dec 31, 2018 | Dec 31, 2018 | Common Stock | 3,021 | 3,021 | D |
| Restricted Stock UnitsF3,F4 | $0.00 | holding | — | — | — | Dec 31, 2017 | Dec 31, 2019 | Common Stock | 2,020 | 2,020 | 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 $191.94 to $192.44, 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.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $192.10 to $192.13, 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 (2) to this Form 4.
- F3Each restricted stock unit represents a contingent right to receive one share of SPGI common stock.
- F4The 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.