SEC Form 4 · accession 0000064040-18-000191
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
Nov 1, 2018
Accepted (ET)
Nov 5, 2018 · 8:00 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 | Nov 1, 2018 | M | 527 | $182.77 | A | 11,579 | D | |
| Common Stock | Nov 1, 2018 | F | 238 | $182.77 | D | 11,341 | D | |
| Common Stock | holding | — | — | — | 4,174 | I | By Family Trust |
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 | Nov 1, 2018 | M | 527 | D | — | — | Common Stock | 527 | 1,070 | D |
| Restricted Stock UnitsF1,F3 | $0.00 | holding | — | — | — | — | — | Common Stock | 884 | 884 | D |
| Restricted Stock UnitsF1,F4 | $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 |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of SPGI common stock.
- F2As previously reported, the reporting person was granted 1,597 restricted stock units on 11/01/2017, subject to 3-year vesting. The restricted stock units vested 33% on 11/01/2018 and will vest 33% on 11/01/2019 and 34% on 11/01/2020.
- F3As previously reported, the reporting person was granted 884 restricted stock units on 04/02/2018, subject to 3-year vesting. The 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.
- F4As previously reported, the reporting person was granted 1,044 restricted stock units on 04/03/2017, subject to 3-year vesting. The restricted stock units vested 33% on 12/31/2017 and will vest 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.