SEC Form 4 · accession 0000064040-19-000012
S&P Global Inc. · SPGI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sitarama Swamy Kocherlakota
Officer — Chief Information Officer
Period of report
Dec 31, 2018
Accepted (ET)
Jan 3, 2019 · 9:05 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 | Dec 31, 2018 | M | 288 | $169.94 | A | 1,028 | D | |
| Common Stock | Dec 31, 2018 | M | 265 | $169.94 | A | 1,293 | D | |
| Common Stock | Dec 31, 2018 | F | 114 | $169.94 | D | 1,179 | D | |
| Common Stock | Dec 31, 2018 | F | 105 | $169.94 | D | 1,074 | 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 | Dec 31, 2018 | M | 288 | D | — | — | Common Stock | 288 | 297 | D |
| Restricted Stock UnitsF1,F3 | $0.00 | Dec 31, 2018 | M | 265 | D | — | — | Common Stock | 265 | 539 | D |
| Restricted Stock UnitsF1,F4 | $0.00 | holding | — | — | — | — | — | Common Stock | 2,167 | 2,167 | 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 873 restricted stock units on 08/01/2017, subject to 3-year vesting. The restricted stock units vested 33% on 12/31/2017 and 33% on 12/31/2018 and the remaining 34% will vest 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 804 restricted stock units on 04/02/2018, subject to 3-year vesting. The restricted stock units vested 33% on 12/31/2018 and will vest 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 3,234 restricted stock units on 08/01/2017, subject to 3-year vesting. The restricted stock units vested 33% on 08/01/2018 and will vest 33% on 08/01/2019 and 34% on 08/01/2020.