SEC Form 4 · accession 0000064040-18-000094
S&P Global Inc. · SPGI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nicholas Cafferillo
Officer — Chief Technology Officer
Period of report
Apr 2, 2018
Accepted (ET)
Apr 4, 2018 · 5:58 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 | holding | — | — | — | 4,174 | I | By Family Trust | |
| Common Stock | holding | — | — | — | 11,052 | 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 | Apr 2, 2018 | A | 884 | A | — | — | Common Stock | 884 | 884 | D |
| Restricted Stock UnitsF1,F3 | $0.00 | holding | — | — | — | — | — | Common Stock | 699 | 699 | D |
| Restricted Stock UnitsF1 | $0.00 | holding | — | — | — | Dec 31, 2018 | Dec 31, 2018 | Common Stock | 1,208 | 1,208 | D |
| Restricted Stock UnitsF1,F4 | $0.00 | holding | — | — | — | — | — | Common Stock | 1,597 | 1,597 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of SPGI common stock.
- F2The restricted stock units will vest 33% on 12/31/2018, 33% on 12/31/2019 and 34% on 12/31/2020. Vested shares will be delivered to the reporting person no later than January 31 following the respective vesting date.
- F3The 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.
- F4The restricted stock units will vest 33% on 11/01/2018 , 33% on 11/01/2019 and 34% on 11/01/2020.