SEC Form 4 · accession 0000064040-18-000193

S&P Global Inc. · SPGI

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — SVP, Chief Risk & Audit Exec

Period of report

Nov 5, 2018

Accepted (ET)

Nov 5, 2018 · 8:02 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 5, 2018	S	225	$183.51	D	306	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F1,F2	$0.00	holding	—	—	—	Dec 31, 2017	Dec 31, 2019	Common Stock	389	389	D
Restricted Stock Units^F1	$0.00	holding	—	—	—	Dec 31, 2018	Dec 31, 2018	Common Stock	604	604	D
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 Units^F1,F5	$0.00	holding	—	—	—	—	—	Common Stock	482	482	D

F1Each restricted stock unit represents a contingent right to receive one share of SPGI common stock.
F2As previously reported, the reporting person was granted 580 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.
F3As previously reported, the reporting person was granted 876 options on 09/03/2013, which became exercisable in annual installments. The first installment of 33% became exercisable on 09/03/2014, the next 33% installment became exercisable on 09/03/2015 and the remaining 34% installment became exercisable on 09/03/2016.
F4As previously reported, the reporting person was granted 1,411 options on 04/01/2014, which became exercisable in annual installments. The first installment of 33% became exercisable on 04/01/2015, the next 33% installment became exercisable on 04/01/2016 and the remaining 34% installment became exercisable on 04/01/2017.
F5As previously reported, the reporting person was granted 482 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.