SEC Form 4 · accession 0000064040-19-000019
S&P Global Inc. · SPGI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Martin Fraenkel
Officer — President, Platts
Period of report
Dec 31, 2018
Accepted (ET)
Jan 3, 2019 · 9:13 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 | 499 | $169.94 | A | 2,748 | D | |
| Common Stock | Dec 31, 2018 | M | 34 | $169.94 | A | 2,782 | D | |
| Common Stock | Dec 31, 2018 | M | 383 | $169.94 | A | 3,165 | D | |
| Common Stock | Dec 31, 2018 | M | 371 | $169.94 | A | 3,536 | D | |
| Common Stock | Dec 31, 2018 | F | 235 | $169.94 | D | 3,301 | D | |
| Common Stock | Dec 31, 2018 | F | 181 | $169.94 | D | 3,120 | D | |
| Common Stock | Dec 31, 2018 | F | 16 | $169.94 | D | 3,104 | D | |
| Common Stock | Dec 31, 2018 | F | 175 | $169.94 | D | 2,929 | 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 | $0.00 | Dec 31, 2018 | M | 499 | D | Dec 31, 2018 | Dec 31, 2018 | Common Stock | 499 | 0 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Dec 31, 2018 | M | 34 | D | — | — | Common Stock | 34 | 35 | D |
| Restricted Stock UnitsF1,F3 | $0.00 | Dec 31, 2018 | M | 383 | D | Dec 31, 2017 | Dec 31, 2019 | Common Stock | 383 | 394 | D |
| Restricted Stock UnitsF1,F4 | $0.00 | Dec 31, 2018 | M | 371 | D | — | — | Common Stock | 371 | 754 | 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 103 restricted stock units on 07/03/2017, 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 1,160 restricted stock units on 04/03/2017, 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.
- F4As previously reported, the reporting person was granted 1,125 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.